considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or
relevant associations to be aware of their role and duty to educate the clients. To begin with, conducting know your client assessment on knowledge and understanding as well as risk appetite and giving
, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should
TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) 06/09/2013 01
advice to others, whether directly or indirectly, concerning derivatives or advisability of trading in derivatives, and has been licensed or registered under this Act, excluding those persons whose giving
Clause 20(1) and (2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving
innovative knowledge, creative thinking, and innovative change. A total of 48 staff members from 16 departments (13 teams) participated in the event this year with qualified experts as the judges giving the