e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Derivatives Agent >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

e-service Online Submission See canceled document Derivatives Dealer >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

provide more flexibility to Thai securities companies who request the personnel of foreign business operators to provide investment advices on foreign products to Thai investors. The proposed revisions

capital market personnel for a period of three months and 22 days. In this regard, Asia Wealth has already suspended her from work for six months. As a result, the SEC's suspension is deemed to have been

also considered personnel in the capital market. As a result, his aforesaid misconduct has caused him to possess the prohibited characteristics of capital market personnel.* This deems him unfit to

investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years

Capital Market Supervisory Board.* SEC has therefore revoked the approval and will not accept her future application for approval as personnel in the capital market business for a period of 10 years

March 2020. ______________________Notes: *  Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital

Market Supervisory Board concerning personnel in the capital market*, the SEC therefore,-1. Disclosed inappropriate behavior of {A}, a securities investment consultant and {D}, a capital market investment