Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited
considering the appropriateness of investment, the objective of investment, the financial position or the demand of any specific person. “investment planner” means a person providing investment consultation to
in analyzing the appropriateness of these ratio, they should be considered in tandem with the volume of audit engagements of that firm, e.g., number of audit client, size, and complexity of audit
exchange for the mining property rights over the two mines in Indonesia, at the total amount of USD731 million. After considering the disclosed information, the SEC questioned its appropriateness and the
from directorship as specified by the law on public limited companies, a director shall be removed from his directorship upon possession of any characteristic indicating a lack of appropriateness in
considering the appropriateness of investment, the objective of investment, the financial position or the demand of any specific person. “investment planner” means a person providing investment consultation to
providing investment consultation to investors and being allowed to analyze investment, relating to the value and appropriateness for trading or investing in capital market product whether or not the analysis
appropriateness. Chapter 3 Powers of the SEC Office ________________________ Clause 10 In the case where a certain fact appears to the SEC Office leading to any of the following reasonable suspicions, the SEC
witness or expert witness; (4) requesting any person to submit relevant documents in such person’s possession; (5) conducting an on-site inspection. The alleged person shall cooperate with the authority 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