Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C
staff, as well as making it difficult to attract new talents. To improve the retention rate of high-potential employees, several audit firms started to adapt their strategy and policies concerning
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and
personnel; · require principals and staff to be alert to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
capabilities to ensure adequate audit personnel for the amount of current and future audit works because the quality of assurance services truly depends on the capabilities of audit staff, obtained through
allocated human and information resources, as well as collaborated with other organizations to mitigate the impacts on the business sector and personnel in the capital market. In addition, all mechanisms in