2016. Investment consultants must not abuse their duties to seek unfair benefits from investors no matter with or without clients? consent. In any case, the SEC takes strict action against all offenses
audit. Accordingly, involvement of engagement partners and EQCRs must be elevated to attain high audit quality, coupled with updating audit manuals and audit programs according to the auditing and
been disclosed to the public or so called inside information or non-public information, a person who has access to such information by virtue or his/her office or position must absolutely abstain from
SEC as well. Preparation and disclosure of Form 56-1, although not necessarily be lengthy or extremely detailed, must contain adequate and accurate information in materiality and be made in a timely
. Importantly, any investment must be chosen by taking into account the suitability and accurate understanding," concluded Vorapol.
months, effective from March 19, 2015. During the suspension period, moreover, the Bank must not allow her to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(2
views of regulator and regulated persons. Meanwhile, better communication will allow stakeholders to learn of purposes, objectives and benefits of the regulations which must also be responsive to their
phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment
personnel in the capital market business, the bank must not allow him to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(1) of the Notification of Capital Market