Rules on Personnel in the Capital Market Business
Insom and Ms. Maneerat Sriphariwathin, winners of the 1st and 2nd FinTech Challenge, respectively, shared their experience. Ms. Archari Suppiroj, Director of the FinTech Department at the SEC, said
stakeholders and support the continuing development and entry of qualified and ethical personnel into the audit profession. This is an important step towards the sustainable development of the economy.”The
The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators
derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and
. • Increased shared service centers used by large engagements and international groups • Revenue recognition • Internal controls over financial reporting : auditors too often are not identifying appropriate
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
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
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment