appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
testimony to competent officer - - - - - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 28 58 15 63 111 218 31
results in an offsetting of the position or by any other means under the rules of a derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means
, top management, management and employees are appropriately defined and assigned. 4. The organization demonstrates its commitment to attract, develop and retain competent individuals in alignment with
19 September 2005 - Translate – Ref. HF 0044 / 2019 February 25th, 2019. Subject : Disclosure of Connected Transaction. Attn : Managing Director of the Stock Exchange of Thailand. According to the
19 September 2005 - Translate – Ref. HF 0109/2018 August 6th, 2018. Subject : Disclosure of Connected Transaction. Attn : Managing Director of the Stock Exchange of Thailand. According to the
19 September 2005 - Translate – Ref. HF 0109/2018 August 6th, 2018. Subject : Disclosure of Connected Transaction (Additional) Attn : Managing Director of the Stock Exchange of Thailand. According to
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
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