the cooperation to disseminate knowledge on finance, investment and savings and to train personnel to ensure they have financial knowledge and understanding so that they can transfer it to students
that those personnel must be equipped with knowledge, capability and approved by the SEC. The business operators must apply necessary assessment procedures to ensure that their investment consultants
23(2) and (3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 dated June 3, 2014 (Notification No. TorLorThor. 8/2557) which was prohibited characteristics of personnel
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
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature
Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets (Section 98(3)) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel
Allocation (Section 81) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major Shareholders | - |- Approval
Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause