Trustee?? Open API : License Check License Check Licenses and https://secopendata.sec.or.th/Intermediaries/Professional
enhance knowledge and professional capacity, facilitate experience-sharing and constructive feedback, and improve legal enforcement and judicial processes in the Thai capital market. Mr. Thawatchai
Bangkok, August 5, 2009 ? The SEC imposed sanctions on two investor contacts for non-compliance with professional standards of conduct. In the case of Pimon Raksurong, former marketing officer of
by virtue of their positions to purchase shares of Professional Waste Technology (1999) Public Company Limited (PRO). The SEC investigation, following a referral from the Stock Exchange of Thailand
has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain
such transfer. Their actions were deemed imprudent and careless fund management in contrary to professional codes of conduct, causing severe damage to the fund assets. On December 29, 2011, the asset
Bangkok, June 29, 2012 ? The SEC declined to grant further extension of dateline for Professional Waste Technology Plc (PRO) to submit the rectified and audited 2011 and reviewed Q1/2012 financial
businesses during the suspension period.SEC reiterates that personnel in capital market businesses must perform duties or provide services with integrity and act in accordance with ethics or professional
Project aims to enhance national transparency, boost morale, applaud governmental organizations’ exemplary role, and promote corporate value of management based on good governance, professional ethics
the client. Her actions were therefore deemed as interfering with client's assets and failing to comply with professional standards of conduct. On {B} case, the SEC received a client's complaint stating