) 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
% due to Training & Education. 1.5 Administrative expenses increased 9.14 MB or 6.49 % due to develop manpower by Training, Product Research and Development and Warehouse Management. 1.6 Corporate income
-organized by the SEC and the FAP for the second consecutive year, the SEC has streamlined the work procedures and increased manpower to speed up the auditor approval process, resulting in significantly
by the current situation. In addition, the Company support employees by sponsoring additional COVID-19 insurance coverage and reallocate workforce to areas requiring business needs with no policy to
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
Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC revoked {A