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

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

seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause

. They must render services and perform duties honestly in compliance with professional standards and codes of conduct. On the other end, investors themselves must strictly abide by trading regulations

granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for renewal of

for investor contacts shall be granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC

refresher ไดท่ี้ https://www.set.or.th/professional/Download/licence/ic_ex/publice_training.html 2. ด ารงสถานภาพ * เป็นผูจ้ดัการกองทุน (FM) /ผูจ้ดัการลงทุนในสัญญาซ้ือขายล่วงหนา้ (DF) * เป็นผูจ้ดัการ (MD) ของบ

2,788 Professional fee 11,035 15,177 (4,142) Rental and service fee 2,426 2,782 (356) Depreciation and amortisation expenses 16,390 13,127 3,263 Others 9,548 9,069 479 Total 54,765 52,733 2,032