responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
characteristics of capital market business personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 87/2557 Re: Rules on Personnel in the Capital Market Business
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
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
The 31st ASEAN Capital Markets Forum (ACMF) Meeting today in Phuket discussed the progress of ACMF initiatives on sustainability, connectivity and resilience. The initiative on developing a Roadmap
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
Bangkok, October 30, 2015 ? The Thai capital market is making progress toward adoption of the Organisation for Economic Co-operation and Development (OECD)?s revised Principles of Corporate