Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees
protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the
strengthen investor protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions
listed company, and prohibited characteristics of personnel in capital market business. Currently, Patinya and Praphol are holding the positions of director and executive of listed company. Praphol is also
leaders among the SEC staff and regulated agencies.”SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC’s objective is to supervise and develop the Thai capital market as the key platform for
) on May 18, 2016 after they had refused to enter the criminal fining process. Following the Stock Exchange of Thailand (SET)?s referral, the SEC?s further investigation has revealed that Chalaem, then
. ---------------------------------------- Note: * Clause 23(2), which specifies a prohibited characteristic of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re
. ________________ *Violation of Clause 23(1) under the Notification of the Capital Market Supervisory Board No. Tor Lor Thor 8/2557 Re: Rules on Capital Market Business Personnel dated 3 June 2014, which is deemed a
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of