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 accountability of the
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 accountability of the
protecting investors’ rights. For example, having personnel readiness and work systems related to duty performance and establishing preventive measures and effective handling of conflicts of interest
re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months and {B
decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
amendment to regulations on capital adequacy of securities business operators to be more adequate and efficient, (4) the development of personnel in capital market businesses through competency training
Principal Valuers - Credit Rating Agency - Debenture Holders’ Representative - Approved Personnel in Capital Market (e.g. Investment Analyst, Investment Consultant, Investment Planner, Fund Manager, and
executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 and 241 Civil Action Dated 16/06/2017
Company’s other revenues were 0.48 million Baht and 0.58 million Baht respectively. Most of these revenues were from the interests received from bank deposits. Personnel expenses For the 3-month periods
Does the firm have documented responses e.g., policies and procedures appropriate to the size and nature of the firm? B9 Does the firm’s leader communicate its policies for quality to its personnel? If