Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees
protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the
strengthen investor protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions
the name of Penprapa Boolpak on account of having prohibited characteristics of personnel in the securities business. The misconducts and respective sanctions are as follows: In the case of
. ---------------------------------------- Note: * Clause 23(2), which specifies a prohibited characteristic of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re
SEC Secretary-General Ruenvadee Suwanmongkol said: "As capital market personnel, investment consultants, investment planners and investment analysts all have important roles to play. Therefore, the
personnel in the capital market business under Clause 31(1) of No. TorLorThor. 8/2557. The SEC, therefore, revoked the approval from their duties as securities investment consultants and will not consider
, subject to SEC oversight; 3. Enhancing SEC Staff Efficiency ? Initiatives to build ?Change? mindset and develop staff potential are underway to ensure that the SEC?s personnel will understand the ?Change