Rules on Personnel in the Capital Market Business

The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators

with access to the capital market for financial advice and planning. This is generally because limited service channels and expenses have been affordable mostly by high income earners. The strategic plan

advice and planning. This is generally because limited service channels and expenses have been affordable mostly by high income earners. The strategic plan aims to address this issue by facilitating

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

reasonable employees’ performance evaluation system will contribute to more effective human resources management system, leading to the ability to retain high potential staffs in the long term. 19 The SEC has

approval for him as capital market business personnel for four years, starting from 29 January 2021. As a result, he is also banned from holding the positions of director and executive of capital market

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved

violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment

Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days