approved the principles for amending the definitions of institutional investors to appropriately encompass capital market business operators and personnel, while also broadening the investment capital
deemed as performing duty with dishonesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as capital
the personnel in the capital market business under Clause 31(1) of the Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014
business***. ____________________ Remark: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital
personnel in the capital market. The event was held on 28 June 2024 in Bangkok. Mrs. Charuphan Intararoong, SEC Assistant Secretary-General, Intermediary and Market Supervision Division, delivered the
Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and
: (1) In the case of Miss Surasa Mungthaworn, the SEC revoked the approval as investment consultant and will not accept her future application for approval as personnel in the capital market business
Bangkok, November 2, 2011 - The Capital Market Supervisory Board approved revision on regulations on approval of personnel of capital market business operator in response to business practice and to
Capital Market Supervisory Board No. Tor Lor Thor. 20/2568 Re: Rules related to Personnel in Capital Market Businesses (No. 19), dated 4 April 2025: (https://publish.sec.or.th/nrs/10677p_r.pdf )2
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