Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
trade securities in the client's account without permission in order to achieve better performance. {A}'s actions are in violation of Clause 20(1) and 20(2) of the Notification of Capital Market
monitoring listed companies? performance, the SEC did not grant further extension of deadlines for AIE and AI as requested. In this regard, AIE and AI must submit the said financial statements urgently. For
ตามมาตรฐานการวัดผลการดำเนินงานระดับสากล (Global Investment Performance Standards: GIPS) ซึ่งจัดทำโดย CFA Institute เพิ่มเติมจากมาตรฐานของสมาคม เพื่อให้การคำนวณและการเปิดเผยข้อมูลผลการดำเนินงานของกองทุน
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor
STPI collected an additional 2,212 million baht from its counterparty on top of the main contract. The said information was material to the STPI share price. This resulted in STPI?s Q1/2010 performance
technical assistance to the SEC under the First Initiative Project, Thailand: Enhancing SEC Assessment Capacity to enhance auditors? performance in compliance with international standards. The OAG, as the
decision, for example, maturity date, type of fund, investment policy, risk factors and performance. For advertisement on group of mutual funds where it is not practical to provide all significant
investment channels and fund performance. In addition, information on Retirement Mutual Funds (RMF) and top-ten outstanding funds will also be available,? said SEC Secretary-General Vorapol Socatiyanurak