Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and
business – are likely to see higher growth, bolstered by an expected broad-based economic rebound, which will be seen in both public and private investment. On top of this, the debt quality problem may ease
2023,” organized for judges and SEC employees. The annual seminar is part of the SEC Strategic Plan regarding collaboration with personnel in the judicial administration to enhance their knowledge in law
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles, duties and responsibilities
of the company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff
ending 30 June 2018 and 2019, the Company’s personnel expenses were 8.86 million Baht and 12.12 million Baht respectively. The expenses were the salaries and related expenses of the employees in project
Following an inspection report from KBANK, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was found that some employees of the bank, who acted as
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
consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and