Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last
Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards
trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
Bangkok, December 4, 2012 ? The SEC organised training programs for both the SEC staff and capital market personnel to keep pace with new securities and derivatives trading methods and prepare them
ก.ล.ต. จัดสัมมนาเพื่อเตรียมความพร้อมในเรื่องความมั่นคงปลอดภัยทางไซเบอร์และการคุ้มครองข้อมูลส่วนบุคคล (Cyber Security & Data Privacy Protection) ให้กับกรรมการและผู้บริหารระดับสูงของบริษัทหลักทรัพย์
investment service provider. To perform their roles and responsibilities, personnel in the capital market need to acquire knowledge and understanding of the ESG principles and apply them in providing
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her