แบบประเมินตนเองก่อนตัดสินใจลงทุนในตราสารหรือธุรกรรมทางการเงินที่มีความซับซ้อน (due diligence checklist) สำหรับบริษัทหลักทรัพย์จัดการกองทุน (บลจ.) เพื่อยกระดับมาตรฐานการประกอบธุรกิจจัดการลงทุนให้เป็นสากล
; mainly due to the sales to those local customers. In addition, the 2008 financial statements submitted to the SEC on February 28, 2009 showed a net operating loss of 944.7 million baht. In this connection
Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore has suspended Theera for six months. Due to his approval status
Investment Advice dated January 18, 2012. The SEC therefore has suspended {A} for six months. Due to his approval status which will expire by December 31, 2012, the suspension period shall therefore remain
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
for their decision making since the directors and executives are obliged to provide information and opinion on appropriateness of the transactions, with due care and honesty in order to protect benefits
securities firms themselves took part in share price manipulation. Strict enforcement on this case is imperative. Due to their misconducts, Porntep and Arada now have prohibited characteristics of capital
? responsibility for the client assets and must have provisions requiring that the companies take full responsibility for the client assets should they become lost or damaged due to the companies? negligence. The
1-31, 2007, respectively. Five more suspects relevant to the cases expressed an initial intention to enter the settlement procedure. The SEC will announce the settlement results in due course. The
your customer / customer due diligence ("KYC/CDD") ไม่รัดกุมเพียงพอที่จะทำให้มั่นใจได้ว่าบริษัทรู้จักและระบุตัวตนหรือผู้รับประโยชน์ที่แท้จริงของลูกค้า รวมถึงป้องกันการกระทำที่อาจไม่เหมาะสมของลูกค้าได้