Allocation (Section 81)    Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major Shareholders | - |- Approval

Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major

and motivation of employee owner in the company. Under the proposed regulation, life-insurance agent entitled to participate in ESOP must have qualifications specified by the Office of Insurance

, silver and platinum. Physical precious metals business operators who have prescribed qualifications will be eligible to apply for the new limited license while licensees of derivatives brokerage limited to

requirements on qualifications of each type of licenses will also be adjusted accordingly to ensure that the salespersons will have proper knowledge of the products they offer. Additionally, to increase the

Bangkok, May 4, 2016 ? The SEC is seeking public comments on draft rules concerning qualifications of chief financial officers (CFO) and accountants who are the key preparers of financial statements

certificates will be limited to institutional investors or high net worth investors only; therefore, is exempted from the SEC?s approval.? ?To make investment in PE trust more attractive, the SEC will further

According to the findings from the SEC’s investigation, Longroot failed to maintain the qualifications regarding financial position, management structure, and work systems throughout the approval

their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to

. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form