117 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market Business (Codefied) 03/06/2014 01/07/2014 Notification
director and executive of issuing companies and listed companies. In addition, the offense of Eakarat, who was personnel in the capital market business at the time, caused him to be a person with
characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities
details for implementation by the personnel or person assigned to operate the business; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the event of
details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the
maintaining or recovery of business operations which contain sufficient details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and
derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
SEC has suspended approval of two AEC executives, namely Thada Chanprasit and Pisit Patumban, as capital market personnel for six months each starting from 29 December 2015 on the ground of being