has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. 2 law on loan
.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of
Board TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 58/2552
TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 8. Notification of Capital Market Supervisory Board TorThor/Nor/Khor 87/2552
Chiaravutthi, CFA and the CFA Society of Thailand. ?Undoubtedly, high potential personnel having knowledge, capability and ethical behavior is the key success factor for Thai capital market to stand out in the
(Synopsis) 17/01/2005 01/03/2005 3. Notification of Capital Market Supervisory Board TorThor/Nor/Khor 37/2553 Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4
of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited https
Capital Market Supervisory Board concerning Rules on Personnel in Capital Market Business ; (25) any other investors as specified by the SEC Office. Clause 5 An ultra-high net worth investor shall refer to