SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to
Rules on Personnel in the Capital Market Business
The Approval of Personnel in the Capital Market Business
regularly to discuss the firm’s goals to quality and document their discussions? 5 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 6 Does the firm’s
aspects of biases comprising (1) emotional or preference biases: focusing on present rather than future incidents; (2) belief bias: making conclusion based on too small sample size while associated risks
The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators
and the Acts of Listed Companies concerning connected transaction B.E. 2003 dated November 19, 2003 and its amendments. The total size of connected transactions with the same related party is of Baht
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and