sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives

, 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

Does the firm have documented responses e.g., policies and procedures appropriate to the size and nature of the firm? B9 Does the firm’s leader communicate its policies for quality to its personnel? If

characteristics of capital market business personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 87/2557 Re: Rules on Personnel in the Capital Market Business

leaders among the SEC staff and regulated agencies.”SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC’s objective is to supervise and develop the Thai capital market as the key platform for

and continuance of client policies and procedures? If yes, mode of communication. If no, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff

cities and the cities that benefit from the tourism sector has improved over the past period. Moreover, the Company has generated cost efficiencies in terms of staff optimization and administrative

Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and

Commission No. SorKhor. 39/2554 Re: Extension for Period of Approval and Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances Whereas the first

rules on capital market personnel*. As a result, the SEC has revoked her approval as capital market investor consultant for 10 years, starting from June 8, 2016. SEC Deputy Secretary-General Tipsuda