characteristics of personnel in capital market and executives of securities companies under the relevant Notifications.**For breach of duty, the SEC barred {A} from holding any securities company management
requires a knowledgeable, capable and responsible person to perform. The Notifications of the Securities and Exchange Commission, the Notifications of the Capital Market Supervisory Board and the
in the Notification of the Securities and Exchange Commission governing determination of definitions in notifications relating to issuance and offer for sale of securities; (2) “related person” means a
Notification of the Securities and Exchange Commission governing determination of definitions in notifications relating to issuance and offer for sale of securities; (2) “related person” means a person who has a
permits by virtue of law, the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 The following notifications shall be repealed: (1) The Notification of the Capital Market
ปรุงวธีิการ ค านวณ counterparty limit ใหส้ะทอ้นความเส่ียงท่ีคาดวา่จะเกิดข้ึนในอนาคต (add-on factor) ของคู่สัญญา OTC derivatives เป็นตน้ 4. การปรับปรุงหลกัเกณฑก์ารจดัประเภทกองทุน ปรับปรุงหลกัเกณฑก์ารจดัป
Businesses . In order to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market
to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market Supervisory
962.00 to Bah n sold in amo ent to the Me ered capital. In this reg cutive Comm ent to the Me ce and to take 2. Resolv g the increase 809.00 to Ba y in the num ent to the Mem d capital. on of the Reso ate