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

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

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

Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel

client's assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market

assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment