Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company Derivatives Dealer Licensed Derivatives Dealer Securities Investment Advisor Securities Company and Other
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
directors and non-executive directors should support proper checks and balances to prevent unfettered power of decision and authority by any one individual, whereby: a) the majority of the board should be
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
be granted approval by the SEC shall possess qualifications of an individual person and of the firm to which the auditor is attached as prescribed by the regulations summarized below: Individual
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
รายบุคคล (Individual Development Plan) และการเตรียมความพร้อมสู่ตำแหน่งผู้บริหารระดับสูงตามแผนทดแทนตำแหน่ง (Succession Plan) นอกจากนี้ สำนักงานยังสนับสนุนการไปดูงาน ฝึกงาน การแลกเปลี่ยนพนักงานระหว่าง