providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider
establishment of an association related to securities business to the SEC Office as per the Form specified by the SEC Office, together with the following evidentiary documentation: (1) the regulations of the
committees, internal auditors, and regulatory bodies in accounting professions, and better understanding of their roles and responsibilities. Various tools and mechanism have been introduced to facilitate
) Basic investment knowledge;(2) Understanding investment products;(3) Understanding digital assets and related risks;(4) Investment diversification and monitoring;(5) Understanding
The board should demonstrate a thorough understanding of its leadership role, assume its responsibilities in overseeing the company, and strengthen good governance, including: (1) defining objectives
Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first
EKH/CS/2019/028 August 13, 2019 Re Establishment of New Subsidiary To
FS 07/2020 14 May 2020 Subject Report resolution of establishment of a new subsidiary To Director and President The Stock Exchange of Thailand Forth Smart Service Public Company Limited (“the Company