operators in the capital markets who plan to apply fintech must comply as follows: (1)    Set a policy on fintech application at board or executives level; (2)    Have personnel understand the basic

for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.

in the capital market. Under the draft regulation, business operators in the capital market will be required to set up independent compliance unit with sufficient personnel while head of compliance

of duty is found.  The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business

and platinum derivatives providing that they have adequate personnel ready to provide such services to investors,? said SEC Secretary-General Thirachai Phuvanatnaranubala. The SEC will also propose for

personnel. The SEC also proposed to emphasize significance of ?compliance officer? by requiring LBDU licensee and derivatives broker appoint at least a compliance officer with specified qualifications.The

(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

derivatives trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators

the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated

client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing