capital market personnel or as director of any issuing and listed company. The SEC?s investigation was based on primary information from the Stock Exchange of Thailand together with DBS Vickers Securities

of the PF business to replace the present fixed and detailed regulations. The scope of amendment includes, for example, corporate structure, personnel readiness, fees, investment management, prevention

appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness

details, that cover several issues such as personnel readiness, investment management, receiving and delivery of funds’ assets and risk management.SEC has studied the supervision in other countries and

operators in the capital markets who plan to apply fintech must comply as follows: (1)    Set a policy on fintech application at board or executives level; (2)    Have personnel understand the basic

and mechanism for risk management, readiness of work systems and personnel, analysis and selection of digital assets to invest, and investment tracking tools, etc. Listed companies should also consider

Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Accordingly, the SEC

Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

business***. ____________________ Remark: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital

, the suspension thus ends concurrently. In this regard, the SEC will not accept her future application for approval as capital market business personnel, starting from 31 March 2021 until the original