securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
possession of prohibited characteristics by the persons on the SEC Arbitrators List. The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit
and Investment Consultant dated January 18, 2012; classified as prohibited characteristics of personnel in capital market according to Clause 6(1) and (2) of the of the Notification of Capital Market
Bangkok, December 15, 2014 ? The SEC has announced selection process for new Secretary-General. Candidates must have qualifications and shall not possess any prohibited characteristics. The SEC Board
revisions address three key areas: (1) qualifications and criteria for approving valuation companies and principal valuers for public purposes in the capital market, (2) prohibited characteristics of
director or executive’s full name] Part 2: Characteristics Indicating Untrustworthiness 1. Being a person having any of the following characteristics: (1) I am an insolvent person, an incompetent or a quasi
reference. Notification of the Securities and Exchange Commission No. Kor Yor. 51/2547 Re: Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of
. ________________________* Clause 23(1) and prohibited characteristics of personnel in capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules
Clause 23(2) and having prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re
who is able to provide consultation to investors on capital market products not having complex characteristics as well as the product having high-risk or complex characteristics.