7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the
Debentures 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
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 set out in Chapter 4. Clause 6
prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a
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
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
business as specified by the Notification of the Office. □ 4. Supporting documents for consideration under Clause 4 (4) : The information of personnel in the unit responsible for asset custodyshall comprise
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
support business 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
supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to comply with such rules. In case