market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in

maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff

executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems

SEC has suspended approval of two AEC executives, namely Thada Chanprasit and Pisit Patumban, as capital market personnel for six months each starting from 29 December 2015 on the ground of being

violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved

Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days

the cooperation to disseminate knowledge on finance, investment and savings and to train personnel to ensure they have financial knowledge and understanding so that they can transfer it to students

Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel