operations as mandated by law. On 8 December 2023, the company notified that it still could not meet the fund requirements. Moreover, the SEC detected the company’s lack of personnel readiness and on 1
, the suspension thus ends concurrently. In this regard, the SEC will not accept her future application for approval as capital market business personnel, starting from 31 March 2021 until the original
past conduct; the cooperation or obstruction with SEC’s investigation; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market
creating a pool of knowledge on financing solutions and investment opportunities. Meanwhile, elevating cyber security and efficiency of the SEC work process is also important in keeping pace with rapid
Qualifications and Additional Prohibited Characteristics of Personnel in the Capital Market Business Clause 139 Personnel in the capital market business shall be persons who [i] have ability and work experience
specified under Section 24 and in the Notification of the Capital Market Supervisory Board regarding Rules on Capital Market Business Personnel : (a) work related to management, establishment, control and
characteristics specified under Section 24 and in the Notification of the Capital Market Supervisory Board regarding Rules on Capital Market Business Personnel: (a) work related to management, establishment
Mr. Jessada Sookdhis, President of Thai Fintech Association, said “Thai Fintech Association is very pleased to work with SEC in the project “SEC FinTech Challenge” to strengthen new fintech
qualified audit personnel and inability to react to changes of professional standards and more complicated structural transactions, will also be addressed to support market readiness for current dynamic