ICGN Global Governance Principles Published by the International Corporate Governance Network Saffron House 6 -10 Kirby Street London EC1N 8TS UK © International Corporate Governance Network 2014 All rights reserved. Dissemination of the contents of this paper is encouraged. Please give full acknowledgement of the source when reproducing extracts in other published works. ICGN, the contributors and the editor of this publication accept no responsibility for loss occasioned by any person acting o...
abuse rules and not seek trading advantage through possession of price sensitive information. Where appropriate and feasible, they may consider formally becoming insiders in order to support a process of
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics
violation of law or acting unfairly or taking advantage of others. (3) having been sentenced to imprisonment by the court’s final judgment and it has not yet surpassed the three-year interval time after
or the agencies relating to capital market business which are recognized by the SEC Office; 14 (5) not having a demeanor of unfair act or taking advantage of investors on trading or investing in
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the
regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the
director of the derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2) removal by the SEC due to gross incompetent in the