Capital Market Supervisory Board.* SEC has therefore revoked the approval and will not accept her future application for approval as personnel in the capital market business for a period of 10 years
March 2020. ______________________Notes: * 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
capital market personnel for a period of three months and 22 days. In this regard, Asia Wealth has already suspended her from work for six months. As a result, the SEC's suspension is deemed to have been
also considered personnel in the capital market. As a result, his aforesaid misconduct has caused him to possess the prohibited characteristics of capital market personnel.* This deems him unfit to
applications for approval as capital market personnel for the period of three years; Revocation of {F} and {G}'s approval status as securities investment consultant and will not consider their application for
governance and the Code of Conduct for new executives - Organizing lectures on good corporate governance for KBank executives 10 - Undertaking continued training and evaluation of employees’ knowledge of
intermidiary’s personnel who perform such functions and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary
___________________________ 8 Clause 22 In providing investment analysis or consultation to clients under Clause 38 of the Notification on Standard Conduct of Business, an intermidiary’s personnel who perform such functions
in submitting inquiries and expressing beneficial opinions in a meeting, to the best of their abilities; senior management shall not serve as full-time employees at other organizations, and shall
temporary closing most parts of the shopping mall to stop the COVID-19 outbreak. Enable tenant remedy measurement who affected and take care employees thoroughly Cost effective management and the review of