business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the
results Sort by: Relevance Date (Newest) Date (Oldest) Thai Digital Asset Business Related Forms appendix Thai Digital Asset Business Related Forms appendix การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงาน
mutual funds with investment in derivatives, hybrid securities, structured notes, and derivatives.***Phisit’s application for obtaining SEC approval to be personnel in the capital market business during
the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the
derivatives, hybrid securities, and structured notes.*** Ms. Naruorn’s applications for SEC approval to serve as personnel in the capital market business will not be accepted during the six-year-and-eight
. In addition, this framework adopts a four-pillar approach, structured around how organizations operate, which are governance, strategy, risk and impact management, and metrics and targets. On 20
bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription
December 2019, SEC will not accept his future application for approval as personnel in the capital market business for three months and 22 days, starting from 6 March 2020; (3) Suspending
provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
Authorized Director of Digital Asset Business Operator