Rules on Personnel in the Capital Market Business
, the SEC proposes the following supplementary principles to enhance investor protection: 1) AMCs intending to establish crypto ETFs must demonstrate readiness in terms of personnel, operational systems
derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
organizations, or recipients abroad, the SEC Office shall ensure that the destination agencies have sufficient security standards for personal data protection. 4. Retention and Retention Period of Personal Data
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
Executives / Personnel Major Shareholders Protection of Customer Assets (Section 98(3)) Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements