testimony to competent officer - - - - - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 28 58 15 63 111 218 31
firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional
. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services
order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably
intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably and trustworthy, the
Debt - SECOpenData TH Home Fund Mutual Fund Private Fund Provident Fund REIT / INFRA / PROP Page Debenture Equity Digital Asset Intermediary & Professional Intermediary & Professional Brokerage
อบรมหลักสูตร refresher ได้ที ่ https://www.set.or.th/professional/Download/licence/ic_ex/publice_training.html 2. ศึกษาเพิ่มเติม (CISA/CFA ระดับใด ๆ) ในช่วง 2 ปีปฏิทิน 3. ด ารงสถานภาพ * เป็นผู้จัดการ
introduced as an online money management consultant created by professional webmasters from Dek-Dee.com.Vorapol Socatiyanurak, the SEC Secretary General, revealed that promotion of financial literacy and money
as an online money management consultant created by professional webmasters from Dek-Dee.com.Vorapol Socatiyanurak, the SEC Secretary General, revealed that promotion of financial literacy and money
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional