significant adverse impact on the credibility required of capital market business personnel. Both types of conduct are deemed the prohibited characteristics of capital market business personnel under the

companies they work for. ________________ *Violation of Clause 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Business

(2) and deemed to be the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557

sessions, either in the morning or afternoon.  ** Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the

business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the

.                                                                                                       _____________________________Remark: * Clause 23(2) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor

prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the

securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the

months, effective from March 19, 2015. During the suspension period, moreover, the Bank must not allow her to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(2

the approval for {A} as capital market investment consultant for complex products type 1** and investment planner, and banned him from applying for a new approval as capital market business personnel