consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee

duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as

and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment

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

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