Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform

Section 103 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform the

emphasis on security. Under the SEC’s regulations, DA business operators must take into account risks of fraud and cyber theft, and are prohibited from providing services related to digital assets through

investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years

credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such

, starting from 1 February 2018. In addition, since {B} is also a branch manager of the bank, she is prohibited from functioning as branch manager responsible for capital market business of any bank or

Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of

and Clause 6(1) of the Notification of the Capital Market Supervisory Board No. Tor Thor/Nor/Khor 37/2553 Re: Prohibited Characteristics of Capital Market Personnel date 15 September 2010, which were

allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities

responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons