business operator after license revocation, and (6) stating the scope on supervision of infrastructure service providers in the capital market which would allow the operators to conduct their business
of the Bank of Thailand (BOT). SEC would like to thank BOT for fostering the development of NDID system to its practical use and allowing the extension of its scope of services to intermediaries in
securities. Upon findings of Wichai?s dishonest conducts, Jadesada had adjusted approach and scope of his audit performance into the transactions in 2008-2009 which was based solely on Wichai?s confession, the
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
category and within the scope of registration only, (3) having at least one person responsible for work coordination in Thailand, (4) having risk management policy for introducing financial products suitable
current situations by expanding the scope of protection and effectiveness as well as closing legal loopholes that could bring people damages or improper services. The regulations are proposed to be
construction, area size, and materials selection - Product database development fees : Fees depending on the scope of work, the number of product database, and man-day in services - Sales management fees : Fees
leave their fund passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with responsibility
should not leave their fund passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with