personnel while some of the existing capital market personnel will be required to obtain the SEC approval with a view to enhancing supervisory efficiency.The consultation paper is available on www.sec.or.th
seeking public comments on the proposed amendment to two relevant notifications prescribing the regulations on capital market business personnel. The consultation paper is available at https
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
investment service provider. To perform their roles and responsibilities, personnel in the capital market need to acquire knowledge and understanding of the ESG principles and apply them in providing
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
Bangkok, April 16, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved to revise rules governing capital market personnel to standardize the
Suwanmongkol said: “Personnel in capital market business play a very important role in raising both institutional and retail investors’ awareness and knowledgeability on ESG-focused business practice and
trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
2023,” as part of the annual strategy aimed at fostering collaboration with personnel in the justice system. The primary objectives of the seminar are to enhance knowledge, promote potential, and