the area of capital market. Furthermore, FAP will give advice, conduct on-site visit and improve their audit quality in accordance with Thai Standard on Quality Control (TSQC 1), Quality Control for
Investment Banking Club will support this project by giving advice to potential business recommended by the Federation or Thai Industries and Thai Chamber of Commerce on organizational management, capital
management will be emphasized to enable their capability of providing comprehensive advice on a variety of financial instruments. Training for renewal of approval will also be revised to be more interesting
keeping of investment advice and trading orders, as the evidence indicated that she had regularly made contact with the client through tape recording system and was able to take client's orders through such
for a number of asset management firms, we can provide information on return comparison and investment advice suitable for investors? profiles. Securities companies also serve investors with need to
Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which
Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clause 23(2) of the
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
Investment Advice dated January 18, 2012. In this regard, the SEC imposed administrative sanctions, by taking into account their employer's disciplinary actions as follows:(1) suspended {A} for two years. As
Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No