characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business
market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. It was
Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. It was in violation of Clauses 23(2) and the prohibited characteristics of the
personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated
, officer or employee of that exchange or center; (6) extends scope of prohibitions against unfair practices to cover trading of securities in all trading platforms or venues. The consultant paper
no prohibitions, restraints or restrictions under applicable laws which are in effect, as at the closing, which would prohibit the Bank from acquiring the Sale Shares 10. Any Connected Person Hold
rational investment decisions but their decisions are usually influenced by several factors and restrictions; emotion, beliefs and biases, for example. Those factors and restrictions cause investors to
create opportunities and reduce restrictions to enable prospective investors to access investment services by taking advantage of technological advances which lead to the development of new financial
be done without amount and value restrictions. SEC has published a hearing document on the above matter on SEC’s website, available at: www.sec.or.th/hearing. Any involved or interested
institutional investors or ultra high net worth investors to invest in any type of financial assets and instruments without restrictions, (2) cancellation of private fund types, i.e., retail and non-retail