person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
for classifying green activities in Thailand. The seminar will be live broadcast via BOT and SEC Facebook pages. For further queries, please contact BOT’s Sustainable Banking Team via Email: taxonomy
firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional
competence of investment in a variety of products and enhancing intermediaries? competitiveness in preparation for the BOT?s Capital Account Liberalization Plan, the SEC has promoted dissemination of
turnover in busy season? 4 How does the firm address concerns regarding the competence and capabilities of engagement team members, including ensuring they have sufficient time to perform their
reference tool for classifying green activities in Thailand. The seminar will be live broadcast via BOT and SEC Facebook pages. For further queries, please contact BOT’s Sustainable Banking Team via Email
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory