derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
, parent company, subsidiary company, affiliate company or person who may have conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company
Directors and Executives of Derivatives Business Operators (No.3) dated 15 September 2010. (Translation) 3 (b) not be an employee, staff, advisor who earns salary, or controlling person of the derivatives
. “lead appraiser” means a personnel of the appraisal company in capital market affixing the signature in the appraisal report for capital market transaction, as practicing appraiser. 2 “capital market
somewhat lower gross profit than previous period, however higher net margin. Selling Expenses Selling expenses mainly consist of salary for the café’s staff, space and equipment rental expenses, utility
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
. -------------------------------- Note: * {A} violated Clause 23(2), and {B} Clause 23(1), both being the prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory
, while he escaped from the case. Owing to such severe offences, the SEC deemed Chalerm unfit to be in the securities business personnel and, therefore, revoked the approval status of the investor contact
have prohibited characteristics of capital market personnel pursuant to relevant regulations as long as he is subject to the complaint and the subsequent procedure, which caused his approved status to