Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
comply with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification, or the service provider fails to maintain the qualifications or possess prohibited
with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification, or the service provider fails to maintain the qualifications or possess prohibited
Investment for Gen Z” to approximately 500 students at Suan Sunandha Rajabhat University, Nakhon Pathom Campus. The session focused on the “Three Knows” (Know Oneself, Know Others, and Know Own Risks), the 5
themselves against investment scams. The lecture covered various topics, including Three Key Factors of Value Investing (Principal, Return, and Time), the “Three Knows” (Know Oneself, Know Others, and Know Own
enhance the understanding of financial planning, saving, and investing under the Principle of Three Knows: "Know Oneself, Know Others, Know Own Risks." The event took place on 25 April 2024, at Loei
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may