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.
being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc. and obtain approval from the shareholders' meeting on the offering of shares not less than one year
Board*. The SEC has therefore ordered a 10-year revocation of approval as a securities investment consultant. However, since the approval period has already ended, he is banned from re-entering as capital
therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6
, Kodchaphon, Chukiat and Prabpol were fined at 56,261,554.95 baht each, while Prasian, Somchai, Sirikorn, and Somchit were subject to a separate fine of 37,507,703.30 baht each. In addition, Chalaem is banned
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
Association of Thai Securities Companies (ASCO)1. The SEC therefore revoked the approval of Auracha as securities investment consultant and prohibited her re-entry as capital market personnel for 10 years
consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
, since the suspension as investment consultant is a prohibited characteristic of capital market personnel in Group 2 under Clause 30(4)(a) of the Notification of the Capital Market Supervisory Board No
having any of the following characteristics shall be deemed to have untrustworthy characteristics: 2 (1) being an insolvent person, an incompetent or a quasi-incompetent person; (2) being banned from