/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in
personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated
. ** Pursuant to Clause 30(3)(a) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the
number of clients? securities trading orders. Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on
of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12
market. This includes revising the governing rules to allow relevant parties to perform their duties effectively, as well as strengthening the roles of chief financial officers (CFO).Prakid Punyashthiti
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
restructuring and cost management as well as reserve requirements to comply with LCR guidelines under Basel III. In terms of loan quality, the ratio of gross non-performing loan (NPL) to total loans stood at 2.9