Products shall be as set out in Chapter 3; (4) Service Personnel shall be as set out in Chapter 4. Clause 6 The SEC Office may prescribe a detailed guideline of the provisions under this Notification to

securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders

) application for approval of personnel whose name is listed in the registration for personnel who possesses qualification to perform the duty of fund manager under the Notification of the Office of the

relationships and unity among personnel from the Association of Securities Companies (ASCO), ASCO member companies, the Stock Exchange of Thailand (SET), and the SEC. A total of 29 teams competed in the

, who are trainees in a capability enhancement course for OAC personnel preparing for promotion to senior specialist roles, participated in a knowledge-sharing session titled “Decoding Success in

event, experts from Secure D Co., Ltd. and SEC Playground Co., Ltd. were guest speakers in a workshop attended by 120 IT security and cybersecurity personnel from the financial sector. The aim was to

relationships and unity with personnel from the Association of Thai Securities Companies (ASCO), its members, and the Stock Exchange of Thailand (SET). On this occasion, the SEC, the SET, and ASCO member

market business personnel for 10 years, starting from 10 February 2018.   ___________________ *Violation of Clause 23(1) and possessing the prohibited characteristics of capital market business personnel

her from applying for a new approval as capital market business personnel for a period of 10 years, effective from 14 March 2019.Investors are advised to be careful and cast doubt on any solicitation

the approval for {A} as capital market investment consultant for complex products type 1** and investment planner, and banned him from applying for a new approval as capital market business personnel