combination of the following activities: (1) Attending training courses or seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full
securities companies? efficiency where quality of personnel in securities business either investment consultants or back office staff, will be strengthened. For investment consultants, training on wealth
governance and regulatory requirements for new directors and executives Undertaking continued training and evaluation of employees’ knowledge of compliance with the Code of Conduct and Anti-Corruption Policy
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
directors and executives to lead the organization towards achievement of the objectives, both short-and long-term, and whether or not and how it is comparable to the current industry practice. - 22 - SEC
redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand
the category of mutual fund management; “Training institute” means Thailand Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and
) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in
) preparing country specific data and evidence and sharing country comparators and practice from elsewhere, (2) supporting governments to develop and implement the Integrated National Financing Frameworks