Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the
as capital market personnel for the period of one year; Suspension of {H} from performing duty as securities investment consultant for seven months.{A} and {B} served as the executives of Country Group
§«√ªØ‘∫—µ‘Àπâ“∑’ËÕ¬à“߉√ . . . . . . . . . . . . . . . 2.1 Àπâ“∑’Ë¢Õß°√√¡°“√µ“¡°ÆÀ¡“¬ (fiduciary duties) . 2.2 À≈—°§«“¡√–¡—¥√–«—ß (duty of care) . . . . . . . . . . . . 2.3 À≈—°§«“¡´◊ËÕ —µ¬å ÿ®√‘µ (duty
business day of the year wherein the approval will expire, and (2) require the business operator to submit an application, notify the commencement and termination of duty performance, and renew the
infrastructure fund project, prospectus, appointment and performance of duty of fund manager and approval of investor contact.Infrastructure fund will become a new investment alternative while private and public
Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC, therefore, suspended {A} from his duty as the approved capital market
) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated
SEC therefore suspended {A} from duty as approved capital market investment consultants for one month.
, failed to order or act his duty resulting in SKFM violation of section 133 paragraph 1 and 2 of the Securities and Exchange Act B.E. 2535. SKFM failed to comply with the rules, conditions, and procedures