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
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
business case for the value of good corporate governance among companies, board members, gatekeepers, share- holders and other interested parties, such as professional associations. Recommendations: Good
. 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