regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the
prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
Business; (2) financial institutions established under a specific law to be financial institutions in accordance with the Law on Loan Interest of Financial Institutions. "Exchange" means the Stock Exchange
Institution Business; “Exchange” means the Stock Exchange of Thailand; “registered debt securities” means the debt securities registered with the Thai Bond Market Association; “Thai Bond Market Association
Clause 6 In this Notification: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
appears in the SEC’s approved list; “related person” means a related person under the Notification of the Capital Market Supervisory Board concerning the Rules on Related Party Transactions; “Stock Exchange
company established under Thai law and listed on the Stock Exchange of Thailand. “executive director” means a director holding the position of executive or acting as executive, including a director who has