duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees
characteristics of capital market business personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 87/2557 Re: Rules on Personnel in the Capital Market Business
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited characteristics of personnel in the
second line of defense personnel in the compliance and risk management functions under the “GRE‑2AT Forum for Capital Market 2026.” The forum has been organized for the second consecutive year. The opening
to have personnel responsible for soliciting, or giving advice related to derivatives trading for customer, Clause 19, Clause 20, Clause 21, Clause 22 and Clause 25 only with respect to the review of
derivatives only with institutional investor counter party. Clause 4. 3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to
derivatives only with institutional investor counter party. Clause 4.3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to
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