branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel. When it appears that any
securities company shall not possess any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel
access of inside information by unauthorized personnel [ii] internal control and [iii] risk management of undertaking trust business, including measure for controlling and monitoring operation of its
and adding oversight provisions related to the personnel in securities and derivatives businesses; (3) Supervision of Securities Market and Related Institutions: revising provisions related to the over
various measures to enhance governance, ensuring transparency and fairness for all stakeholders. Additionally, continuous efforts have been made to prepare our personnel for law enforcement. The legal
digital asset ecosystem. Furthermore, standard training courses will be promoted to ensure that personnel in the digital asset industry will have sufficient knowledge and competency for providing services
Capital Market Supervisory Board No. Tor Lor Thor. 20/2568 Re: Rules related to Personnel in Capital Market Businesses (No. 19), dated 4 April 2025: (https://publish.sec.or.th/nrs/10677p_r.pdf )2
encourage the personnel of listed companies to be aware of their roles and duties which are highly critical to the Thai capital markets. Ms. Jomkwan Kongsakul, SEC Deputy Secretary-General, gave the