business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment advisory service, ranging from the level of the
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
asset custody to institutional investors. Effectively, the proposed guidelines would level the playing field while maintaining an appropriate level of investor protection.In proposing these rules, the SEC
Permanent Secretary of Justice (Executive, Primary Level), accepted the donation on behalf of the Ministry of Justice on 25 March 2024.
The Securities and Exchange Commission (SEC) welcomed participants of the capacity-building program for support staff prior to their promotion to the advanced specialization level at the
Ms. Rachamarn Suchitchon, Assistant Secretary-General of the Securities and Exchange Commission (SEC), gave a welcome speech to trainees of the Mid-Level Executives of the Transport Management
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in
readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in accordance with laws, regulations