conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company, parent company, subsidiary company, affiliate company, or person who may have
Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. Clause 5 In appointing a juristic person to be an agent for selling investment units or
management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in
Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. Clause 5 In appointing a juristic person to be an agent for selling investment units or receiving requisition
has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. 2 law on loan
business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type
will not accept her future application for approval as personnel in the capital market for the remaining period from 31 December 2020 until the 15-month suspension ends. {A} resigned from Finansia on