Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board 85/2552 03/08/2009 01/09/2009 5. Notification of Capital
renewal of approval.5 10 In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − ✓ Only examination on related rules is required
remark 1)2 10 In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − ✓ Only examination on related rules is required. − − 11 In case
, the SEC will file a criminal complaint for further legal proceedings. Due to his misconduct, {A} is deemed to have prohibited characteristics of capital market personnel as specified in the
6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated 15 September 2010, which are in
Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No
business***. ____________________ Remark: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital
10 In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − − ✓ Remarks: 7 Application must be submitted within 5 years as from
In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − − ✓ Only examination on related rules is required. − − ✓ Remarks: 6
, control and good work practices; (4) no financial troubles; (5) directors, management executives and major shareholders with no prohibited characteristics approved by SEC; (6) no conflicts of interest