branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel. When it appears that any
securities company shall not possess any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel
securities company shall not possess any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel
sales due to good efficiency on management cost of goods sold. - Selling and administrative expenses of 2018 was 8.84% of sale, increased to 9.26% in 2019 an increase of 0.42% from sale due to personnel
: Detail Content Investment Consultant/ Investment Planner Related Rules and Regulations The Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the
access of inside information by unauthorized personnel [ii] internal control and [iii] risk management of undertaking trust business, including measure for controlling and monitoring operation of its
of Directors and Executives of Securities Issuing Companies Enforcement Fundraising Securities Issuing Companies Takeover Professionals Intermediaries Search-for-related-personnel Mutual Fund
King’s Coronation, which the SEC and 12 other capital market organizations co-launched on 14 August 2019 to encourage organizations and personnel in the capital market to make useful contributions based
. The SEC therefore filed the criminal complaint against both persons with the DSI for further legal proceeding. Consequently, they are automatically barred from serving as capital market personnel or as