in the audit firm who has an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other

an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other licensed CPAs or of

giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in https://publish.sec.or.th/nrs/8500pe.doc 8500pe_r.pdf

Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of

Bangkok, 20 October 2017 ?  The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create

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

Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or

relevant associations to be aware of their role and duty to educate the clients. To begin with, conducting know your client assessment on knowledge and understanding as well as risk appetite and giving

, 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

agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or