testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
E_1 Legal_FA_2015_12_29-c A WWCCoorrppLL44..11hhiigg A Executive Summary 1 Management Discussion and Analysis For the Year Ended December 31, 2017 In 2017, Thai economic growth gained traction, buoyed by strong recoveries in tourism and exports. This growth momentum is expected to carry on into 2018, especially amid a brighter outlook in public and private investment. Nonetheless, the business sector remained challenged by new modes of competition in a broader marketplace amid the advancing digi...
. 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
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
-border publication of research reports to facilitate better information flow of ASEAN capital market products as part of its ongoing efforts to promote professional mobility and wider investor
their professional roles are concerned, to ensure sustainable returns for their clients. In addition, to earn a recognition for good corporate governance practices, an institutional investor should put in