its business rehabilitation or operational plan has not been approved by the regulatory agency of such financial institution or the Board of the Financial Restructuring Authority (FRA), or which has

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

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

SEC Thailand Academy 2016 ประกาศแนวปฏิบัติ ที่ นป. 3/2562 เรื่อง แนวทางในการปฏิบัติหน้าที่ของบุคลากรในธุรกิจตลาดทุน __________________ ตามที่ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 8/2557 เรื่อง หลัก

case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has

Notification of the Securities and Exchange Commission (Translation) PAGE (Translation) - 4 - Readers should be aware that only the original Thai text has legal force and that this English

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 Securities and Exchange

) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization

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

liberties of persons permitted by virtue of law under the Constitution of the Kingdom of Thailand in Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64