of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel hasbasic understanding of general laws
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
, top management, management and employees are appropriately defined and assigned. 4. The organization demonstrates its commitment to attract, develop and retain competent individuals in alignment with
administrative panel or the SEC, as the case may be, for commencing the administrative proceedings under this Chapter. 3 Clause 7.1 The department in charge as assigned by the SEC Office to perform operational
statement; (4) re-examining and reviewing in the compliance of rules; (5) supervising the internal examining unit; (6) performing any other duties assigned by the SEC. In the execution of the duties under the