order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably
intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably and trustworthy, the
materially high volume. {A}'s conducts were deemed trading securities on behalf of the client using his own decision, which was an interference with client's assets and non-compliance with standards of conduct
Engineering Plc. (IFEC) in contravention of the SEC regulations on standards of conduct, effective from December 31, 2011. {A}, an investor contact of KGI Securities (Thailand) Co., Ltd., is suspended for two
Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Marketing >> Code of Conduct ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1. หนังสือเวียน ที่ กลต.กธ.(ว) 2/2555 เรื่อง นำ
Printable Format - Laws and Regulations Marketing |- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter Bond Dealer and Underwriter |- Fees (section 14 and 19
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test