decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of

amendment to regulations on capital adequacy of securities business operators to be more adequate and efficient, (4) the development of personnel in capital market businesses through competency training

Principal Valuers - Credit Rating Agency - Debenture Holders’ Representative - Approved Personnel in Capital Market (e.g. Investment Analyst, Investment Consultant, Investment Planner, Fund Manager, and

executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 and 241 Civil Action Dated 16/06/2017

capital resulting from incorrect or inadequate processes, personnel, operating and/or IT systems, or external events

Company’s other revenues were 0.48 million Baht and 0.58 million Baht respectively. Most of these revenues were from the interests received from bank deposits. Personnel expenses For the 3-month periods

Does the firm have documented responses e.g., policies and procedures appropriate to the size and nature of the firm? B9 Does the firm’s leader communicate its policies for quality to its personnel? If

performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A

the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case

Patumban, as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company?s core work systems.   Regarding the share