internal processes and developing employees’ skills to accommodate the task of underwriting loans with trees pledged as collateral. This may take some time in order to ensure that the value of collateral is
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
companies they work for. ________________ *Violation of Clause 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Business
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
billion baht to 1.61 billion baht by the end of 2001. Successful near-term market recovery by itself cannot, of course, ensure sustainable progress of the capital market. As economies and capital markets
, 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
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and