request the Court to fix a civil fine and to return the benefits from committing the offense of THB 183,268,831.70 and to prohibit these 11 persons from trading securities on the Stock Exchange or Over
should prohibit retaliation by the CRA or an employee against any employees who, in good faith, make such reports. 2. CRA INDEPENDENCE AND AVOIDANCE OF CONFLICTS OF INTEREST A. General 2.1 A CRA should not
SEC Office, the SEC Office may not use such prohibited characteristic to decline to grant an approval, suspend or revoke an approval or prohibit from performing duties. In this case, the SEC Office may
, procedures, and controls established, maintained, documented, and enforced by the CRA. A CRA should prohibit retaliation by the CRA or an employee against any employees who, in good faith, make such reports. 2
shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this 17th day of January 2017. (Mr. Rapee
, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency. Notified this 17th day of January 2017
the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this
fail to attend such training course within the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products
derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have