, 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
banned under the law on Supervision of Financial Institutions, either Thai or foreign law, provided that such prohibited characteristics are related to corruption, fraud / managing work in violation of law
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
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
sectors, countries and companies are prohibited from investing; ▪ Traditional financial factors are ignored; ▪ Portfolio returns are sacrificed to perform ESG integration techniques. ▪ Analysing financial
committing the offense in an amount of 999,200.00 Baht - a civil monetary penalty of 1,249,000.00 Baht The SEC has banned Chatchai from holding the position of director
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the
. Sor Thor/Nor. 26/2545 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. By
Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities