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 ___________________
duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees
Commission No. SorKhor. 39/2554 Re: Extension for Period of Approval and Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances Whereas the first
components: 1) Issuer: we assessed the Issuer’s management of potential stakeholder-related ESG controversies and its involvement in controversial activities.5 2) Bond: we assessed the Framework’s alignment
provide more flexibility to Thai securities companies who request the personnel of foreign business operators to provide investment advices on foreign products to Thai investors. The proposed revisions
Personnel Director & Executive - - - - - - Member of fund investment committee - - - - - - Fund manager - - - - - - Investment Planner - - - - - - Investment Consultant /1 - 6 12 - 4 10 Other Professionals
. 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
Denominated in Foreign Currency shall be as set out in Chapter 2; (3) Specific Provisions related to Providing Services of Outbound Products shall be as set out in Chapter 3; (4) Service Personnel shall be as
Products shall be as set out in Chapter 3; (4) Service Personnel shall be as set out in Chapter 4. Clause 6 The SEC Office may prescribe a detailed guideline of the provisions under this Notification to