securities trading. Because of his misconduct, Kajonchai will be subject to the SEC?s consideration regarding prohibited characteristics of capital market personnel. Meanwhile, the SEC is proceeding with the
connection, Yongyuth and Vorapin are deemed as having untrustworthy characteristics of a publicly held company director and executive throughout the criminal proceeding period. On criminal proceedings, they
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor
of their acts, the aforesaid four persons are deemed to possess prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor
characteristics.
similar characteristics to those in (a)-(g) and (p) the SEC approved investors.
for an approval under this Notification except for the case of an offer for sale of newly issued shares in Thailand which will have the characteristics under Clause 7: (1) a foreign exchange where the
similar characteristics to person under (1) to (22); (24) fund manager whose name is registered as qualified fund manager under the Notification of the Office of the Securities and Exchange Commission
meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2) “Fund Manager
/01/2005 01/03/2005 2. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis