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
) renew the personnel service agreement with Sutat Chudjen Co., Ltd., whereby the Board of Directors has also resolved to approve the authorization of the Executive Committee or any other person entrusted
such as setting the maximum number of employees per branch based on sales volume, issues a Leave Without Pay policy, and controls the costs associated with rent by requesting a rent reduction to the
prevention and handling of conflicts of interest; (2) adequate measures to prevent directors, executives, sub-committee members, advisors, staff members, employees, or persons who work for securities clearing
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
Number of Active Professionals Classified by Type of Companies Download data Number of Personnel perform duties in the capital market business Download data Dataset/Statistic report No. Report name Period