amendment to regulations on capital adequacy of securities business operators to be more adequate and efficient, (4) the development of personnel in capital market businesses through competency training

be a qualified person with independence, objectivity and required competency;  (3) Update the requirements per current standards and guidelines to be in alignment with international standards and other

companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for

expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of

contact, solicit or advise their customers, the Office expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives

.?To achieve these strategic goals, the SEC is striving towards becoming a smarter regulator by empowering staff competency in line with the fast changing market landscape. In addition, technologies will

into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted

business efficiently. Such personnel must possess suitable knowledge, competency, and experience, as prescribed in Clause 8 and Clause 10 of the SEC Notification No. Kor Thor. 19/2561;      (3) Establish a

business operations. Such personnel must have appropriate knowledge, competency and experience in accordance with Clause 8 and Clause 10 of the SEC Notification No. Kor Thor. 19/2561; and (3) Rectify the

balance between promoting innovations and managing risks, including the development of skills and competency of the human resources.