failure to comply with Clause 23(1) and 23(2) and a prohibited characteristic of capital market business personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor
offering of newly issued securities during 2011. His actions were deemed as failure to comply with the auditing standards and the Notification of the Office of the Securities and Exchange Commission No
ต้องครอบคลุมความเสี่ยงทุกกรณี กล่าวคือ ขั้นต่ำต้องครอบคลุมกรณี (1) ล้มละลาย (bankruptcy) (2) ไม่สามารถชำระหนี้ได้ (failure to pay) และ (3) ปรับโครงสร้าง (restructuring) 7. คณะกรรมการบริษัทหรือคณะกรรมการ
licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has
]. Clause 4 A licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a
to seek benefits for themselves, which was deemed failure to perform duties or provide services with loyalty pursuant to the Notification of the Capital Market Supervisory Board.*The SEC has revoked
the 11 investment consultants were deemed a failure to perform duties or provide services honestly as they sought to gain personal benefits from investors through their job operation, or a violation of
its personnel and its clients and between a client and another client ; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your
personnel and its clients and between a client and another client; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your clients An