Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
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
fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform
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
, 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
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
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
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