client due diligence ? e.g., clients? investment objectives, personal conditions and risk tolerance ? before giving advice, attached with supporting reasons, on suitable funds for their investment. In
Investigation Bureau (CIB), the SEC has found the facts and evidence that all 18 offenders are connected, in terms of personal relations, money trails, securities trading as well as channels and locations of
sold SUPER shares in his own and other persons? trading accounts to gain personal benefits.Securities trading based on non-public information that is material to the change in securities price is deemed
major shareholder, sold the shares in his personal trading account during 3-26 October 2012 at the total amount of 576,000 shares. The misconducts of the four offenders violated Section 241 and liable to
: ? Speculation risk: lending practices should be more cautious ? whether it be margin lending for securities trading or commercial banks? personal and commercial loans ? and financial institutions should not
allocation to seek personal gains for oneself or other persons. By committing such act which gained him more than 42 million baht in benefits, Chupong was deemed to have performed duties dishonestly. In
responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons
รัฐมนตรีว่าการกระทรวงดิจิทัลเพื่อเศรษฐกิจและสังคม เพื่อยกย่องเกียรติคุณให้กับหน่วยงานที่มีส่วนร่วมในการผลักดันและขับเคลื่อน พ.ร.บ. คุ้มครองข้อมูลส่วนบุคคล พ.ศ. 2562 (Personal Data Protection Act, B.E. 2562
ข้อมูลส่วนบุคคล พ.ศ. 2562 (Personal Data Protection Act, B.E. 2562 (2019)) ในงาน “PDPA Going Forward ก้าวไปข้างหน้ากับ PDPA” ซึ่งจัดโดยสำนักงานคณะกรรมการคุ้มครองข้อมูลส่วนบุคคล (สคส.) ร่วมกับ สมาคมเจ้า
Bangkok, March 24, 2014 ? The SEC launched ?Financial Literacy in Workplace? Project or ?FL in Workplace? to support employers to organize a learning process in personal finance for their employees