violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and

Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months

securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from

characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business

, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

workforce through a blend of skills and experience. In addition, staff development program will also be addressed to develop employees’ skills and capabilities. Third R – Renovate: Investment of over Baht

. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the

are provided to ensure that executives and employees perform the duties with integrity and ethics: 1.2.1 Appropriate code of conduct for executives and employees; 1.2.2 Prohibitions on any actions by

, cover the following issues: 8.2.1 Procedures for communicating with relevant persons, correctness and modern of name list and contact data. 8.2.2 Procedures for evacuating employees or moving personnel to

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 able to work