least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The
personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of the fund; (2) the analysis and feasibility study on the
following matters: (1) the selection and supervision of the personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of
securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2
/1.6 For the purpose of supervision the undertaking of securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is
securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2. Clause 16 shall apply to
attentiveness and accumulate knowledge of market personnel regarding developments in international capital markets, promote academic opportunities and expand perspectives of such personnel through global
has revised such regulations for the business providers to be able to mandate their operation to outsourcee with proficient personnel and working system as business operators, but the operation must
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on