, starting from 1 February 2018. In addition, since {B} is also a branch manager of the bank, she is prohibited from functioning as branch manager responsible for capital market business of any bank or
. Set the period for acceptance of re-application of {B} as the capital market business personnel for 3 months, effective from June 27, 2015. 3. Suspended {C} from her duty as the approved securities
characteristics of personnel in the capital market business of the 3rd category under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel
. TorLorThor. 3/2555 and were the 3rd category prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor
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 January 18, 2012 which was
online training channels on the topic "Preparing Playbook for Cybersecurity Incidents" to capital market business operators and open the online training system on May 1, 2020.
, effective from 12 October 2018; (b) suspending the approval of {B} as securities investment consultant and banning her from working as branch manager in charge of capital market business of the bank for two
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
continuous AI implementation and created the AI/ML Governance Guideline to outline expectations for capital market business operators regarding the responsible and risk-aware use of AI under appropriate
Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and