Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had

behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved

behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market

translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business

translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business ___________________

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securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market

systems related to receiving and handling complaints, channels to communicate with customers as well as the number and ability of personnel for Bitkub to operate its business efficiently. DAB Act S.30

orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market