Rules on Personnel in the Capital Market Business

operated. General controls are implemented to ensure that all automated applications are developed, implemented, and maintained properly, and in addition, that the integrity of program and data files and of

The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

Bangkok, September 25, 2015 ? The SEC aims to promote the use of technology to provide more access to the capital market for fund mobilizers and investors through crowdfunding and automated

approval for him as capital market business personnel for four years, starting from 29 January 2021. As a result, he is also banned from holding the positions of director and executive of capital market

directors oversees that the company follows the laws and charters in specifying roles and duties of the board of directors, the executives, the audit committee, auditors, internal auditors, and the personnel

OR "computerized actual" OR "automated real" OR "automated genuine" OR "digital real" OR "digital genuine"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field

หน้าที่ที่ดี มีการจัดทำตาม Maturity Level 4 โดยการใช้เครื่องมืออัตโนมัติ (Automated monitoring) ในการติดตามการทำงานของผู้ปฏิบัติงานที่เกี่ยวกับความมั่นคงปลอดภัยของระบบเทคโนโลยีสารสนเทศ เพื่อให้มั่นใจว่าผู้

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved