the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person responsible for the work of a department in the company
responsible for the work of a department in the company; “Executive” means director, manager or any person with management power; “Training Institute” means Thailand Securities Institute and other training
Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
client's assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market
assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment
, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of the operational risk and the customer
system relating to operational management, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of