Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board 57/2552 03/08/2009 01/09/2009 5. Notification of Capital Market Supervisory
Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board 57/2552 03/08/2009 01/09/2009 5. Notification of Capital Market Supervisory
the land purchase and sale agreement in the amount of 5.34 million Baht. Personnel expenses For the 3-month periods ending 30 September 2018 and 2019, the Company’s personnel expenses were 10.35 million
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that it is aware of the applicable independence, integrity, and objectivity rules. 5 Does the firm communicate its policies for independence to its personnel? If yes, describe how the firm communicates
.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of
.____________________________Note: The misconducts of the eight investment consultants and branch manager {I} were in violation of Clause 23(1) and were deemed prohibited characteristics of capital market personnel under Clause 31(1
Personnel in the Capital Market Business dated 3 June 2014, and were thus suspended as securities investment consultant. The person in (2) was in contravention of Clause 31(1) and Clause 33(3) of the
market by increasing the number of auditors in the capital market and enhance the audit personnel?s capability in response to changes of professional standards and more complex transactions. Under this
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are