make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light
advisers and analysts. The framework will allow licensed professionals to provide advisory services within participating ASEAN jurisdictions and enable ASEAN investors greater access to professional
high returns. PE focuses on long-term investment with a specific period of time in a start-up or high potential businesses. The funds will be managed by professional finance manager supervising for
, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should
, introduction of professional wealth advisor to provide a service of personal asset allocation and organizing series of financial literacy projects to reach the main targets, e.g. new generation workers in the
person not the owner of securities trading accounts were failure to perform duties with responsibility and due care as the capital market professional, disguising that trading decisions were not actually
Bangkok, July 6, 2015 - The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against (1) Professional Portfolio International Ltd. (PPI), (2) Eric
derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
with professional standards and code of ethics; not allowing any acts in the manners that taking advantage of clients and investing public.? Information contained in this news release is as of the