market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in
maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff
Bangkok, October 15, 2013 ? The SEC today launched new corporate website with more user-friendly design. Newly introduced and improved functions and features have been built-in to offer even more
, 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
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
employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and
private sector in conducting and managing foreign exchange transactions, together with providing Thai investors increased investment options with improved risk diversification. KBank has put in place
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re