financial statements of Renaissance FMC, which constitutes a prohibited characteristic for an auditor in the capital market*.   Accordingly, the SEC resolved to revoke Ms. Sulalit’s approval as a capital

misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of

Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of

know-your-customer requirement or e-KYC via online methods. The use of authentication and verification under the National Digital ID (NDID) system will make it convenient, quick and reliable to open

investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification

investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis. Clause 2. This Notification

characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business

responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board

The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies  because business structure in Thailand is characteristic of

โดยก าหนดใช้วิธีพิสูจน์ตัวตนแบบ multi-factor authentication ข้อก าหนดดังกล่าว ครอบคลุมถึงระบบที่ผู้ประกอบธุรกิจ ให้บริการลูกค้าหรือไม่ ผู้ประกอบธุรกิจสามารถใช้วิธีพิสูจน์ตัวตนแบบ multi-factor