Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

; including operate clinical business which dialysis services for kidney patients who receive replacement therapy with dialysis by dialysis machinery (Dialysis Center) and distribution of medical equipment

for its operations, is liable for the case in which BLS had inadequate supervisory controls over investments held as assets of its executives, resulting in insufficient safeguards against conflicts of

Definition of “Executives” under Chapter 3/1 of the Securities and Exchange Act B.E. 2535 (1992) as Amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008)

-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

services for kidney patients who receive replacement therapy with dialysis by dialysis machinery (Dialysis Center) and distribution of medical equipment as well as medical service concerning health and

that has not covered the enforcement of investors’ rights as determined in the filing and prospectus. Other mechanisms equivalent can be used in replacement. For example, obligations or document with

Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel

Professor Pornanong Budsaratragoon, Ph.D., Secretary-General of the Securities and Exchange Commission (SEC), along with SEC executives, met with Professor Dr. Surakiart Sathienthai, Advisory Vice

The Securities and Exchange Commission (SEC), led by Mr. Wiboon Phatrapiboon, Assistant Secretary-General, welcomed executives and officers from the Office of Insurance Commission (OIC) to a