safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by
procedures for trading digital assets (trading rules) approved by the SEC. Also, the suspension did not comply with the standards as a professional required to perform and was the failure to deliver services
Certification of auditor’s professional qualification Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand
own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in
CG ท่ีดี 13 ASEAN CG Scorecard 5,000,000 สนับสนุนผู้เช่ียวชาญไทยเพ่ือด าเนินการ ดังน้ี - ร่วมกับ expert ของประเทศอ่ืนใน ASEAN พัฒนาและปรับปรุงเกณฑ์การให้ คะแนน CG ของ บจ. ของประเทศสมาชิก (scorecard
directors and senior management. B. Corporate Secretary 1. Provide the name, professional qualifications and address of the secretary of the issuer (if any). C. Advisers 1. Provide the names and addresses of
เอกสารรับฟังความคิดเห็น เลขที่ อนธ. 38/2561 เรื่อง การยกเว้นให้การเผยแพร่บทวิเคราะห์ ภายใต ้ACMF Professional Mobility Framework ไม่เข้าข่ายการเป็นที่ปรึกษาการลงทุน เผยแพร่เมื่อวันที่ 12 กันยายน 2561
loyalty; (2) performing duties with responsibility and deliberation as a professional and treating each investor with fairness, carefulness and circumspection by taking into account the interest of