Pittayasophon, provided an update on the progress of the Strong Securities Issuers Project to enhance the quality of listed companies and the duty performance of personnel in the capital market, with the main
Portal บริษัทหลักทรัพย์นายหน้าซื้อขายหน่วยลงทุน Approval of personnel in capital market industry Please enter search criteria. Name - Surname Please specify name or surname,then click "Search" button
Management Businesses Credit Rating Businesses Investor Alert Search-for-related-personnel Mutual Fund Report and Prospectus System SEC Open Data Services Market Statistics (Download) Market Statistics
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) Enforcement Fundraising Securities Issuing Companies Takeover Professionals Intermediaries Search-for-related-personnel Mutual Fund Report and Prospectus System SEC Open Data Services Market Statistics
penalized a former investment consultant named Mr. Nattapong Saelee by prohibiting him from performing duties as capital market business personnel for seven years and six months on account of committing
the personnel in the capital market business under Clause 31(1) of the Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014
appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system
providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation