Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

personnel; · require principals and staff to be alert to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a

-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital

leader communicate its policies for quality to its personnel? If yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d

Management discussion and analysis /Page 2 - Efficiently cost and expenses control measure such as managing staff productivity, marketing expenses control by shift to more social media and digital marketing

firm’s strategic and business plan. If yes, please describe. 2 How does the firm conduct the estimation of personnel needs (e.g. developing succession plan)? 3 How does the firm deal with the staff

{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection

2023,” organized for judges and SEC employees. The annual seminar is part of the SEC Strategic Plan regarding collaboration with personnel in the judicial administration to enhance their knowledge in

2023,” organized for judges and SEC employees. The annual seminar is part of the SEC Strategic Plan regarding collaboration with personnel in the judicial administration to enhance their knowledge in law

ending 30 June 2018 and 2019, the Company’s personnel expenses were 8.86 million Baht and 12.12 million Baht respectively. The expenses were the salaries and related expenses of the employees in project