Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications

Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications

Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees

strengthen competency of digital leaders.KMITL and CMKL will jointly promote academic know-how in the area of digital technology for capital market personnel, promote research related to capital market, and

. ---------------------------------------- Note: * Clause 23(2), which specifies a prohibited characteristic of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re

from being capital market personnel and considered lacking trustworthy characteristics of directors and executives of issuing companies. Thus, the SEC revoked the approval as securities investment

.  ________________ *Violation of Clause 23(1) under the Notification of the Capital Market Supervisory Board No. Tor Lor Thor 8/2557 Re: Rules on Capital Market Business Personnel dated 3 June 2014, which is deemed a

SEC Secretary-General Ruenvadee Suwanmongkol said: "As capital market personnel, investment consultants, investment planners and investment analysts all have important roles to play. Therefore, the

personnel in the capital market business under Clause 31(1) of No. TorLorThor. 8/2557. The SEC, therefore, revoked the approval from their duties as securities investment consultants and will not consider

listed company, and prohibited characteristics of personnel in capital market business. Currently, Patinya and Praphol are holding the positions of director and executive of listed company. Praphol is also