Thai capital market.?Adopting the global trend of ethical and responsible investment management and protection of clients? interest, the I Code consists of seven principles, two of which have already

investment to earn optimal benefits for investment owners and clients. Having such policy and close investment monitoring will encourage the invested companies to adopt good corporate governance and

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form

investment loss must be provided and records on giving advices to clients must be kept.

trading transactions of a client making orders in the trading room.Investment consultants must keep a full and complete record of all investment advice as well as clients? securities and/or derivatives

), submitted orders for clients to trade shares of Unique Engineering and Construction PCL., (UNIQ) in a manner that inflated the share prices.  The order were split into a number of orders despite it could be

performance of PF/DF marketing agents, and (3) the compulsory seeking of clients? consent before disclosing their personal information.  The consultation paper is available at www.sec.or.th. Stakeholders and

), which was created by CFA Institute. The GIPS Standards include ethical principles that provide investment firms with guidance on calculation and reporting their investment results to prospective clients

are likely to have improper behavior and have adverse impact on clients and mutual funds. The personnel to be included are, for example, the person with supervisory functions and the assistants of the