Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The
Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
capital market business under Clause 31(1) of No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014, which have been promulgated in replacement
corporate fund raising through bond issuance. The project will provide the business operators interesting in bond issuance with a forum to exchange views and experiences with institutional investors and for
derivatives broker to ensure that policy, operational procedures, and personnel of those business operators related to money-laundering and terrorist financing are put in place. In 2010, the SEC and the Anti
) Intermediaries: Surveillance, monitoring, inspection and investigation of business operators and related capital market personnel;(5) Enforcement: Legal actions against the violators;(6) Toward international
returns of investments. For example, when past performance is disclosed for advertising purposes, business operators must not selectively present only periods with favorable returns. Disclosure of past
risk management measures for high‑risk customers; strengthening scrutiny of major shareholders and the ultimate controlling persons of business operators; upgrading supervisory and monitoring tools
to his lack of qualifications or his prohibited characteristics pursuant to the law regulating such business operators and the notifications issued by virtue of the said law, such person shall be