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
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
engagement quality reviewers (EQR) of listed companies must have competence, capabilities and authority at a level not less than auditors in the capital market who audit listed companies. In the event that an
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
care to preserve the interests of the person who has authorized the management of the private fund, using knowledge and competence as a professional. He was then considered failing to comply with the
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit and proper for the
coordinating with other units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence
Office to suspend functioning as lead appraiser or being under the period of time that the SEC Office could refuse to accept the application; (7) having passed the test of competence or taken professional