Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
SEC Secretary-General Ruenvadee Suwanmongkol said: "As capital market personnel, investment consultants, investment planners and investment analysts all have important roles to play. Therefore, the
allocated human and information resources, as well as collaborated with other organizations to mitigate the impacts on the business sector and personnel in the capital market. In addition, all mechanisms in
, financial institutions are ranked first in this category as they have invested in both relevant knowhow and personnel. Cyber risk management processes of financial institutions are, moreover, consistent with
capabilities to ensure adequate audit personnel for the amount of current and future audit works because the quality of assurance services truly depends on the capabilities of audit staff, obtained through
translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business
translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business ___________________
Patumban, as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company?s core work systems. Regarding the share