listed companies pursuant to the SEC Notification*. Consequently, they are prohibited from holding such positions pursuant to the SEA. In addition, the misconduct in this case may be liable to be a
of civil sanction, the six ordinary persons above, namely (2) Pranay, (3) Manish, (5) Amit, (6) Supritha, (7) Anurag and (8) Rahul were deemed to possess untrustworthy characteristics and prohibited
. _____________________________Remarks: * Pursuant to Clause 23(1) and 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No
information which might affect the qualifications of the company is concealed. Offering price for PP is lower than IPO after the date of application, the company is prohibited from offering to sell PP at a
prohibited.) The classification of the investment units shall be based on the following features: Classification Features Examples Class A Class B ( 1 ) F ees or expenses collected from the
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, starting
-DERI.pdf 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
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 in the https://www.sec.or.th/EN
a physical short sale transaction is also prohibited. However, a Covered Fund may borrow or engage 4 https://publish.sec.or.th/nrs/9022ae0.pdf คำอธิบายประกอบการจัดทำแบบ RLA สินทรัพย์ดิจิทัล และ ผู้