consultation paper is available on the SEC website at https://www.sec.or.th/EN/Pages/PB_LISTVIEW.aspx . Stakeholders and interested parties are welcome to send comments and suggestions via the website or email
are not the SET members will be allowed to send trading orders through the SET ?s trading system in cases where such system is linked with others, such as that of foreign exchanges. Also included in
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
minor error occurred during the drafting. The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=676. Stakeholders and interested parties are welcome to send comments
recommendations via the website. For electronic comments, please send an email to rattaya@sec.or.th or sumitra@sec.or.th . For paper comments, please send them to: The Investment Management Policy Department, the
สักครู่ -- Request OTP again OTP Send OTP Close Close OK Close สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ 333/3 ถนนวิภาวดีรังสิต แขวงจอมพล เขตจตุจักร กรุงเทพมหานคร 10900 โทรศัพท์ 1207 กด 3
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
. Assigning competent audit staff to each engagement as required by auditing standards and determining performance evaluation criteria to reflect performance quality could help improve the deficiencies; (3