website of the SEC Office. Clause 6 The SEC Office will grant an approval for the application submitted as prescribed in Clause 5 only if a person who will be appointed to be personnel [in the capital

. 27 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

the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set out on the website of the

out on the website of the SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the

information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its

of interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for

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

control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics

so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the

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