. ---------------------------------------- Note: * Clause 23(2), which specifies a prohibited characteristic of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re
Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012
personnel in the capital market business under Clause 31(1) of No. TorLorThor. 8/2557. The SEC, therefore, revoked the approval from their duties as securities investment consultants and will not consider
quarter of 2018. The main reason was a decline of Baht 4,143 million or 25.3 percent in operating expenses, mainly because of the recognition of provision for post- employment benefits in the previous
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel. When it appears that any
securities company shall not possess any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel
sales due to good efficiency on management cost of goods sold. - Selling and administrative expenses of 2018 was 8.84% of sale, increased to 9.26% in 2019 an increase of 0.42% from sale due to personnel
access of inside information by unauthorized personnel [ii] internal control and [iii] risk management of undertaking trust business, including measure for controlling and monitoring operation of its