. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
Securities and Exchange Commission No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing
new businesses under supervision Presently, supervising “ digital asset businesses” under the royal decree on digital asset businesses, B.E. 2561 cover three business groups: digital asset exchange
businesses under supervision Presently, supervising “ digital asset businesses” under the royal decree on digital asset businesses, B.E. 2561 cover three business groups: digital asset exchange; digital asset
digital asset advisers and fund managers as new businesses under supervision Presently, supervising “ digital asset businesses” under the royal decree on digital asset businesses, B.E. 2561 cover three