care to preserve the interests of the person who has authorized the management of the private fund, using knowledge and competence as a professional. He was then considered failing to comply with the

Securities and Exchange Commission (SEC) of Philippines- Corporate Governance Taskforce: Chaired by SEC Philippines- ACMF Industry Consultative Panels: Chaired by SEC Thailand- Professional Mobility Working

Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended

อนุญาตจากคณะกรรมการ ก.ล.ต. ให้ประกอบธุรกิจเป็นทรัสตี (professional trustee)  โดยจะต้องเป็น ธนาคารพาณิชย์ บริษัทหลักทรัพย์  บลจ. หรือสถาบันการเงิน หรือบริษัทจำกัดที่เป็นลูก 100% ของธนาคารพาณิชย์ บริษัทหลัก

standards of conduct strictly applied in other countries. Trading securities on behalf of clients and inform them afterwards is not in accordance with ethics and professional standards and at times causes

to ensure compliance of its business conduct with ethical and professional standards of the industry. ?Securities firms are doing business based upon clients? trust and confidence. Any breach of

signifying companies? health, while professional integrity will serve the society with accurate information.?Prateep Tangmatitham, TLCA Vice Chairman said that ?On behalf of listed companies, we are very

Professional Conduct dated June 21, 2005 and Clause 14(6) of the SEC Office Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 which was in

owners, in order to gain indirect benefits for himself. His actions are deemed as failure to honestly and fairly perform his duty in providing financial services, lacking of professional accountability or

advice with bias, not based on professional standards, and without supporting studies/researches or imparting rumors. For {E}, his action was considered using client account to trade securities for the