have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft

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

Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of

behalf of the client.  In this regard, Theera and Nongun?s actions were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for

Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving

his conspirators. In doing so, the UBS?s clients did not receive the best price available on the market but had to pay more or sell for less. On the contrary, Numkrit and his associated persons were not

No. IFS 057/2562 7 October 2019 Subject Management Discussion and Analysis of the 2nd Quarter 2019 Operating Results Dear Governors and President Market for Alternative Investment (mai) Infraset

proper qualifications for business undertakings, in terms of operational systems and personnel, i.e., the absence of fund managers for continuous client support even though there were trading transactions

Thai capital market; (2) having readiness for participating in a regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support service provision appropriately

and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By