for approval with the SEC Office unless the cause for such suspension imposed by the Ethical Standards Committee was the same as the cause for suspension or revocation of the approval 2 Amended by the
affected by According to the Labor Protection Act (No. 7) , BE 2562, additional compensation rates have been imposed in the event that employers terminate employment for employees who have worked for 20
same matter under this Chapter, and the Stock Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their respective regulations, the SEC Office may not
management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation
follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation or higher more than
period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being imposed a probation or higher more than three cases, unless
imposed a probation or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for
. In Q2/2019 and the first six months of 2019, the Group has been affected by According to the Labor Protection Act (No. 7), BE 2562, additional compensation rates have been imposed in the event that