Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees

Determination of Untrustworthy Characteristics of Company Directors and Executives

Forms and Procedures for Filing or Changing Information on Issuing Company Directors and Executives

Rules for Listing Names of Persons on Database of Directors and Executives of Securities Issuing Companies

, class 14, Office of Justice Affairs, consisting of executives from agencies in the justice system, relevant agencies, and the private sector executives. SEC executives also delivered lecture aiming to

Exemption for Preparation and Disclosure of Securities Holding of Executives of Financial Institution Closed by the Financial Institution Reform Committee Order

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

for its operations, is liable for the case in which BLS had inadequate supervisory controls over investments held as assets of its executives, resulting in insufficient safeguards against conflicts of

Definition of “Executives” under Chapter 3/1 of the Securities and Exchange Act B.E. 2535 (1992) as Amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008)

-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s