Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
. Nevertheless, no facts appeared to demonstrate that Huobi would be able to rectify its work systems and ensure readiness of its personnel in accordance with the governing regulations within the requested
companies they work for. ________________ *Violation of Clause 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Business
The Approval of Personnel in the Capital Market Business
Rules on Personnel in the Capital Market Business
, who are trainees in a capability enhancement course for OAC personnel preparing for promotion to senior specialist roles, participated in a knowledge-sharing session titled “Decoding Success in
examinations recognized by the SEC and have work experience in preparing technical analysis researches. Also, they must not possess any prohibited characteristics of personnel in capital market. The consultation