3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit
Business , an intermediary shall at least comply with the following rules: (1) such revision and updating thereof shall be performed within the following periods of time: (a) the information for the purpose
laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
(if any). (3) a procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients
market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the date on which this Notification comes into
Clause 19 The personnel in the capital market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the
) not having a demeanor of unfair act or taking advantage of investors on trading or investing in capital market product , or participating in or supporting such acts performed by other persons. Clause 24
restrictions or duties; (5) avoids any action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities and Exchan...
action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and conditions as prescribed in Division 4