maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff
sales due to good efficiency on management cost of goods sold. - Selling and administrative expenses of 2018 was 8.84% of sale, increased to 9.26% in 2019 an increase of 0.42% from sale due to personnel
failure to perform duties with responsibility and due care as the capital market professional were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re
Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry ------------------------------ By virtue of the following Sections: (1) Section 16/6 and Section
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, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for