from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
SEC Office in accordance with Section 104 of the Securities and Exchange Act B.E. 2535. Clause 3 Securities company shall file with the SEC Office an application for approval of person to be a major
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the
per the form and procedures provided in the Office’s electronic work system together with documents evidence or a reference of course attendance under (1); (3) pay the renewal fee for approval to be
experience in Thailand or foreign countries for a total period of not less than 1 year during a period of 3 years prior to the application date. - Except having passed the CISA Level 1 3 the Certified
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is