insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited
pay interest, constituting an offense. The Investment Committee is considered to have the prohibited characteristics to act as personnel in the capital market business.** The SEC has suspended Mr
Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees
Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of Derivatives Exchange and Derivatives Clearing House
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.
rational investment decisions but their decisions are usually influenced by several factors and restrictions; emotion, beliefs and biases, for example. Those factors and restrictions cause investors to
and Exchange 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
. 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