prohibited characteristics under Clause 3(13) of the SEC Office Notification No. KorThor/Nor/Khor. 3/2548 Re: Prohibited Characteristics of Securities Business Personnel dated January 17, 2005 and Clause 3(13
(Oldest) DRAFT director of the derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2) removal by the SEC due to gross incompetent
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited characteristics of personnel in the
performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as
use of a client’s assets, fiat money and digital assets for the benefit of another client or any other persons shall be prohibited and clients’ assets shall be reconciled every business day to ensure
Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of
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. TorThor
amount equal to the benefit received or that should have been received, and a reimbursement of investigative expenses incurred by the SEC, totaling 5,379,046 baht, and shall be prohibited from trading
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited