translation is 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
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
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
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
SEC Thailand Academy 2016 ประกาศแนวปฏิบัติ ที่ นป. 3/2562 เรื่อง แนวทางในการปฏิบัติหน้าที่ของบุคลากรในธุรกิจตลาดทุน __________________ ตามที่ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 8/2557 เรื่อง หลัก
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
have been invested, or be a legal custodian in the country where such custodian is located. (5) Be able to show that the personnel of the unit responsible for work relating to fund supervisor is ready or
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
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. Securities and Exchange