such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected by law. For example, they shall not be suspended, threatened, interfered with work or
make an argument with evidence against the allegation before the SEC commences the consideration of the case except when it is necessary and appropriate for the SEC to take a prompt action to prevent
show that its operational system will be prompt for operating securities business in the category of venture capital management; consideration on which will be taken into account its internal control
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
set aside reserve capital in accordance with law controlling business undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business
operational system will be prompt for operating securities business in the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to
that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view
investors are appropriately protected, while the business sector and market operators achieve competitiveness through development of various investment products and services. In this regard, the SEC has
บริษัท การอบรมเตรียมตัวให้ Prompt One Report (เดือนมิถุนายน 2564 ) คลิปการบรรยาย เตรียมตัวให้ Prompt One Report" ซึ่งร่วมกันจัดโดย SEC SET mai maiA TGO เพื่อส่งเสริมการรายงานข้อมูลตาม
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in