the same day. Saowarat’s misconduct according to (1) is deemed failure to perform duties or provide services with loyalty by misappropriating client assets, and according to (2) is deemed acting

Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012

Number of Active Professionals Classified by Type of Companies Download data Number of Personnel perform duties in the capital market business Download data Dataset/Statistic report No. Report name Period

significant traction globally. CFA Institute is dedicated to enhancing ethical and professional standards within the investment industry. This includes helping investment professionals perform in emerging

companies will be able to perform their duties accurately and thoroughly in accordance with laws and regulations. Over the years, the SEC and the TLCA has been working together to enhance the duty

act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the

to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her

investment planner, for three months starting from 7 April 2020.  _______________________Notes: *  Failure to perform duties with responsibility and deliberation as a professional under

This proposed amendment to the regulations on qualifications of capital market auditors aims to facilitate capable auditors’ entry into the capital market to perform audit work and to streamline

;            (4)  Requiring the trustee to perform additional duties. For example, monitoring and overseeing the issuer’s asset management according to the governing regulations. In this regard, the trustee must