capacity as the bondholders’ representative, failed to maintain the required qualifications of a bondholders’ representative and neglected to notify the Securities and Exchange Commission (“SEC”) of such

Board No. TorThor/Nor/Khor. 87/2552 Re: Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) By virtue of Section 18 and the first

Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets

) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control

Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major Shareholders | - |- Approval & Qualifications (Section 90, 91) |- Audit Committee (Section 89

and motivation of employee owner in the company. Under the proposed regulation, life-insurance agent entitled to participate in ESOP must have qualifications specified by the Office of Insurance

, silver and platinum. Physical precious metals business operators who have prescribed qualifications will be eligible to apply for the new limited license while licensees of derivatives brokerage limited to

Bangkok, May 4, 2016 ? The SEC is seeking public comments on draft rules concerning qualifications of chief financial officers (CFO) and accountants who are the key preparers of financial statements

SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case of having complied with such guideline, it shall be deemed that an

from graphs, technical analysis concept and scenario test. Clause 3 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case