, investors should contact the compliance unit without delay._______________________ Notes:  * Pursuant to Clause 23(2) and Clause 23(1) and the prohibited characteristics of personnel in the capital market

(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules

. -------------------------------- Note: * {A} violated Clause 23(2), and {B} Clause 23(1), both being the prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory

23(1) and (4) and prohibited characteristics of personnel in the capital market business under Clause 31(1) and (5) of No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the

they possess the following prohibited characteristics: 1. Having been denounced or tried in any criminal proceedings instituted by authorities with power invested by law (e.g., the SEC, the Bank of

Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry ------------------------------ By virtue of the following Sections: (1) Section 16/6 and Section

possessing the prohibited characteristics as specified in Chapter 3; (c) having obtained an approval from the SEC Office prior to performing function, except for any of the following cases: 1. the intermediary

September 15, 2010. It was in violation of Clauses 23(1) and (2) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the Notification of Capital Market

Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of

investment in or https://publish.sec.or.th/nrs/7483pe.doc DRAFT director of the derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2