violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
law governing securities and exchange. “SEC Office” means the Office of the Securities and Exchange Commission under the law governing securities and exchange. “competent officer” means a person
Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and executive director including deputy manager, assistant manager, department director and
the category of mutual fund management; “Training institute” means Thailand Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and
, 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
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
PowerPoint Presentation THE BETTER FUTURE IS NOW Uthaiwan Anuchitanukul Executive Vice President Excellence and Sustainble Development Division IMAGINING BETTER FUTURES FOR ALL มุ่งสร้างสรรคส่ิ์งท่ี
Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance
of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel hasbasic understanding of general laws