regard, the SEC Office shall grant an approval only when the intermediary demonstrates that it has readiness of personnel, and has already prepared at least the following operating systems: (1) a security
last year, driven primarily by increases in rental and service expenses, personnel expense and marketing and promotion expenses. Increases in rental and service expenses were primarily attributable to
) application for approval of personnel whose name is listed in the registration for personnel who possesses qualification to perform the duty of fund manager under the Notification of the Office of the
relationships and unity among personnel from the Association of Securities Companies (ASCO), ASCO member companies, the Stock Exchange of Thailand (SET), and the SEC. A total of 29 teams competed in the
, who are trainees in a capability enhancement course for OAC personnel preparing for promotion to senior specialist roles, participated in a knowledge-sharing session titled “Decoding Success in
relationships and unity with personnel from the Association of Thai Securities Companies (ASCO), its members, and the Stock Exchange of Thailand (SET). On this occasion, the SEC, the SET, and ASCO member
market business personnel for 10 years, starting from 10 February 2018. ___________________ *Violation of Clause 23(1) and possessing the prohibited characteristics of capital market business personnel
her from applying for a new approval as capital market business personnel for a period of 10 years, effective from 14 March 2019.Investors are advised to be careful and cast doubt on any solicitation
the approval for {A} as capital market investment consultant for complex products type 1** and investment planner, and banned him from applying for a new approval as capital market business personnel