. Market professionals who pass the market professional examinations in their home country will be no longer required to take another professional examination in the host country. This initiative will
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of
the SEA?s Section 241, securities trading of the former GPF head in advance of the fund by using information about the fund?s pending orders (front running) is a breach of professional ethics for taking
trading orders. During an examination of a securities trading inconsistent with normal market conditions, the SEC found that six securities companies had failed to submit recorded tapes of their phone
information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is available from
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
Professional Waste Technology (1999) Public Company Limited Professional Waste Technology (1999) Public Company Limited failed to prepare and submit (1) the reviewed financial statements for Q4/2013
Thai Technician Professional Company Limited Thai Technician Professional Company Limited offer to sell newly issued securities in the category of convertible bonds without approval from the SEC