additional professional education or training); (D) a civil money penalty for each such violation, in an amount equal to— (i) not more than $100,000 for a natural person or $2,000,000 for any other person; and
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3. Maintenance of
investment products in response to the objective of sustainability. Concurrently, investor education campaigns will continue and cover all demographics. SEC Deputy Secretary-General Waratchya Srimachand
drive opportunities in Machine Learning and Mathematical Optimization. Identified 250 digital value creation opportunities across 12 sites and analyzing their implementation. Portfolio Development IVL
Business (No. 3) B.E. 2555 9 (b) policy and effective measures for preventing conflict of interests, learning of inside information between units and personnel, internal control and risk management for
เนื่อง อาทิ อบรมให้ความรู้และประเมินความรู้ความเข้าใจเก่ียวกบัการปฏิบตัิตามจรรยาบรรณของพนกังานและนโยบาย การป้องกนัการหาผลประโยชน์ในหน้าที่โดยมิชอบผา่นระบบ e-Learning จดับรรยายให้ความรู้แก่ผู้บริหารผา่น
Manufacturing Co., Ltd. SPI acting as major shareholder of both companies 6. Thai Bunka Fashion Co., Ltd. SPI acting as major shareholder of both companies 7. Waseda Education (Thailand) Co., Ltd. SPI acting as
period except for those of similar activities. 2. Further education 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past