SEC Search Our use of cookies We use necessary cookies to make our site work. We'd also like to set optional analytics cookies to help us improve it. We won't set optional cookies unless you enable
Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The
regulations in business. The business providers must also have adequate personnel with the understanding in the basic operating principle and the risks of such algorithm, and are responsible to use the
’ patient management system with the use of technologies and innovations to enhance service efficiency for greater convenience of patients through alerts for their appointments with physicians, queuing, and
providing incentive gifts, rights or other benefits to a client in order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the
order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary. “institutional investor”6 means an institutional
for providing auditing service to businesses in the capital market. Such audit firm must employ at least one auditor in the capital market. The name list of the audit firms inspected by the SEC is