Rules on Personnel in the Capital Market Business 03/06/2014 01/07/2014 Notification of the Office of the Securities and Exchange Commission SorLorThor. 8/2557 The Approval of Personnel in the Capital
/2014 Notification of the Office of the Securities and Exchange Commission SorLorThor. 8/2557 The Approval of Personnel in the Capital Market Business (Synopsis) 03/06/2014 01/07/2014 Circular
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances 03/11/2011 16/11/2011 9. Notification of the Office of the Securities and Exchange Commission
decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
investment consultant and her approval of the head of department or equivalent position, effective from July 3, 2015.4. Suspended {D} from her duty as the approved capital market investment consultant for 3
and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of