financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator
business operator, (iii) an audit firm where the SEC-approved auditors work, (iv) the Stock Exchange of Thailand or its subsidiary whose shares are held by the SET at least 75%, or (v) a service provider
. 70/2561 Re: Rules on Personnel in the Capital Market Business (No.10) dated 24 October 2018 (effective on 1 January 2019). 5 “investment analyst”9 means a person giving investment consultation to
attended by over 80 regulators and audit firm representatives from 6 ASEAN countries and Hong Kong. Besides the AARG members comprising Malaysia?s AOB, Singapore?s Accounting and Corporate Regulatory
Office to visit and inspect the audit firm with which the applicant is affiliated or any other establishment necessary for the consideration of the application for approval, the applicant shall be
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
. Soonthorn Thongperm, Plan and Policy Analyst, Practitioner Level, the Administration Section, accepted the donation on behalf of the Chatuchak District Office. Additionally, the SEC donated fertilizer
, Mrs. Sittasri Nakasiri holds the Bachelor’s Degree in Accounting from Thammasat University and the Master of Science from Saint Louis University, USA. She is also a certified financial analyst (CFA
จากมหาวิทยาลัยเซนต์หลุยส์ ประเทศสหรัฐอเมริกา และได้รับคุณวุฒิ Certified Financial Analyst (CFA) เข้าร่วมงานกับ ก.ล.ต. ในปี 2540 โดยที่ผ่านมาเคยดำรงตำแหน่งผู้อำนวยการฝ่ายบริหารความเสี่ยงองค์กร ฝ่าย