. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. By
Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities
Factors for Consideration ___________________________ Clause 12. In considering the seriousness of behaviors constituting the third category of prohibited characteristics or undertaking under Clause 11, the
under Paragraph 1, the SEC Office shall take the following factors into its consideration: (1) the seriousness of the facts or circumstances that have changed; and (2) the effect upon the investors who
into its consideration: (1) the seriousness of the fact or circumstances that have changed; (2) the effect upon the investors who have subscribed for the debt securities. Clause 11 In cases where any of
factors into its consideration: (1) the seriousness of the facts or circumstances that have changed; and (2) the effect upon the investors who have subscribed for those bonds. Clause 15 In cases where it
factors into consideration: (1) the seriousness of the facts or circumstances that have changed; and (2) the effect upon investors who have subscribed for those debt securities. Clause 12 In the case where
experience in the field, he has held several posts including Dean of the Faculty of Law, Vice Rector for Personnel and Vice Rector for Student Affairs at Thammasat University. Apart from being Professor of Law
this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9