shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable

work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a person with knowledge (Unofficial

in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a

for digital assets can apply for official licenses at  SEC  from now on. The standardized work systems, good risk management and well-prepared personnel will be emphasized.SEC Secretary-General Rapee

is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate.  The draft notification also allows business operators to

consultant for one month. In this regard, RHB Securities (Thailand) has already suspended him from work for an equal period of one month. Thus, the SEC's suspension is deemed to have been served.Investors are

Work System Related to Business Undertaking of Mutual Fund Management

executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems

work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the

The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators