under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant executive or personnel who rendered the company into such

executive or personnel who rendered the company into such disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office

Miss Waranit Pongveranon Miss Waranit Pongveranon aided and abetted the former executive of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited

during 1 April 2016 - 4 May 2016. In so doing, (6) Mrs. Supritha Pai Kasturi, Senior Manager of PTL Finance and Accounting Department, helped to execute the PTL purchase orders before the inside

manager position, used inside information on the operating results from the fourth quarter of 2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such

Mr. Veerawat Sukwara Between September 22, 2015 and October 27, 2016, Mr. Veerawat Sukwara aided and abetted the former executive of K.C. Property Public Company Limited (KC): (1) Mr. Krittiphat

discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the

licensed to undertake securities businesses under the law on securities and exchange; “Executive” means director, manager or person with power of management; “Person with power of management” means executive

Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager

Provisions ______________________ Clause 17. The person having been granted approval to be Category A investor contact based on the qualification of being Director or Executive, but not the position of Manager