of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12

securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators

client's account without the client's order and failing to perform in accordance with the client's order were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the

governance, and who is able to bring about the growth of their investment that would be sufficient enough for their employees’ lives after retirement. The contest is sponsored by various organizations

enroll employees in the provident fund, providing the default portfolio for a member who does not make a selection, and specifying the details of accounting and recording of fund incomes and expenses; 3

Bangkok, 2 September 2016 ? In preparing the workforce for their retirement, the SEC is encouraging employers from both public and private sectors to support their employees? retirement savings

operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval

e-service Online Submission See canceled document Investment Advisory >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

e-service Online Submission See canceled document Derivatives Advisors >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

e-service Online Submission See canceled document Limited BDU >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market