the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know

with professional standards and code of ethics; not allowing any acts in the manners that taking advantage of clients and investing public.?    Information contained in this news release is as of the

failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory

seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause

. They must render services and perform duties honestly in compliance with professional standards and codes of conduct. On the other end, investors themselves must strictly abide by trading regulations

กองทุนรวม             กองทุนเปิดเคแทม Twin Structured Complex Return 1Y1 KTAM Twin Structured Complex Return fund 1Y1 KTTWIN1Y1 ผู้ลงทุนไม่สามารถขายคืนหน่วยลงทุนนี้ในช่วงเวลา 1 ปี ได้ ดังนั้น หากมีปัจจัยลบ

หนาแฝง (Derivative - embedded Debt Instruments หรือ “Structured Notes”) ฝายกํากับธุรกิจจัดการลงทุน สํานักงานคณะกรรมการหลักทรัพยและตลาดหลักทรัพย ช้ัน 10 อาคารดีทแฮลมทาวเวอรส บี 93/1 ถนนวิทยุ แขวง

granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for renewal of

for investor contacts shall be granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC