Board's Notification No. Tor Lor Thor 8/2557 Re Rules on Personnel in the Capital Market Business.  Qualifications of each type of fund manager and market analyst can be found below;  ​ Types of Fund

Wongsiridej, and banned him from functioning as capital market personnel for 5 years. SEC Act (the fifth amendment) Section 241 Civil Action Dated 19/05/2017

executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 in conjunction with Section 83 of the

information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its

information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its

of interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for

interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and

interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and

property to reserve for its expansion projects regarding the committed growth and sustained profitable on such investment to all shareholders as per attached information memorandum regarding the connected

personnel in undertaking the business; and (5) being able to show that the clearing house which will provide the clearing and settlement services for the derivatives exchange to be established has been