suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
person not the owner of securities trading accounts were failure to perform duties with responsibility and due care as the capital market professional, disguising that trading decisions were not actually
derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel
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
Bangkok, August 20, 2013 ?Finance Minister Kittiratt Na-Ranong appointed Sopavadee Lertmanuschai as a financial expert member of the SEC Board, in replacement of Benja Louichareon who resigned
Thai Technician Professional Company Limited Thai Technician Professional Company Limited offer to sell newly issued securities in the category of convertible bonds without approval from the SEC
Professional Conduct dated June 21, 2005 and Clause 14(6) of the SEC Office Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 which was in
นำส่งภาพถ่ายประกาศและซักซ้อมความเข้าใจเกี่ยวกับการวิเคราะห์หรือให้คำแนะนำการลงทุนโดยบุคลากรจากต่างประเทศ ภายใต้โครงการ ASEAN Professional Mobility
” ให้แก่ผู้บริหารสูงสุดสายงานบัญชีและการเงิน (CFO) ของบริษัทจดทะเบียน ในโครงการอบรม TLCA CFO Professional Development Program 2019 ซึ่งสมาคมบริษัทจดทะเบียนไทยจัดขึ้น โดยการสนับสนุนของ ก.ล.ต. เมื่อวันที่