Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) (Synopsis) 03/08/2009 01/09/2009 Contact The Securities and Exchange Commission, Thailand
Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission  SorKhor 22/2553 Prohibited Characteristics of Directors, Executives and Major Shareholders of
Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission  SorKhor 22/2553 Prohibited Characteristics of Directors, Executives and Major Shareholders of
Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission  SorKhor 22/2553 Prohibited Characteristics of Directors, Executives and Major Shareholders of
 SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05
 SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05
 SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05
, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2) Dividend payment by issuing investment units to unitholders is prohibited. Retained
the SEC, in materiality. The said actions were also failure to perform the duties as professionals with prudence, due care, knowledge, capability and experience and considered as prohibited
. -------------------------------- Note: * {A} violated Clause 23(2), and {B} Clause 23(1), both being the prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory