the Derivatives Act B.E. 2546 (2003). The SEC therefore filed criminal complaint against him with the ECD Police for further legal proceedings. Automatically, Parin is now barred from serving as
rules, issuer will be barred from the following PO submissions for a certain periods of time. Aforementioned revised rules has already been effective.
Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry ------------------------------ By virtue of the following Sections: (1) Section 16/6 and Section
and Exchange Commission No. SorKhor. 22/2553 Re: Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees _____________ By virtue of Clause 3(4) of the Notification of the
Board No. TorThor/Nor/Khor. 87/2552 Re: Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) By virtue of Section 18 and the first
similar manner as custody of digital assets; 2) Custody of fiat money and digital assets: the use of a client’s assets for the benefit of another client or other persons shall be prohibited and clients
damage at the amount of 20,000 baht. SEC has considered that Sorrapon failed to perform duties with loyalty* by committing wrongful acts against the investor’s asset, which was deemed a prohibited
. Notification of the Office of the Securities and Exchange Commission No. SorKhor. 22/2553 Re: Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees
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
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