conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company, parent company, subsidiary company, affiliate company, or person who may have
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
market 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
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
position. Handbook or operating guideline for staff must be prepared and up-to-date. 3. The personnel must perform their duties in accordance with the law and relevant rules and regulations including code of
. 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
information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel
Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. Clause 5 In appointing a juristic person to be an agent for selling investment units or
Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. Clause 5 In appointing a juristic person to be an agent for selling investment units or receiving requisition