Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
SEC Thailand Academy 2016 ประกาศแนวปฏิบัติ ที่ นป. 3/2562 เรื่อง แนวทางในการปฏิบัติหน้าที่ของบุคลากรในธุรกิจตลาดทุน __________________ ตามที่ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 8/2557 เรื่อง หลัก
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
the service providers are as follows: (1) The Stock Exchange of Thailand or; (2) Limited company or public limited company established by the Stock Exchange of Thailand and hold shares not less than
; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive
reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of The Office of the Securities
in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an
strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. ---------------------- The
Notification of the Office of the Securities and Exchange Commission (Translation) PAGE 2 Readers should be aware that only the original Thai text has legal force and that this English translation is