profits from the order. SEC views that {A}’s act did not comply with the investor’s order and was deemed failure to perform duties with responsibility and deliberation as a professional**. SEC has
failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore
market, and giving advice on relevant professional standards via a hotline channel. SEC Secretary-General Ruenvadee Suwanmongkol said: “For future plans, the SEC will continue to dedicate efforts to ensure
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
professional training courses on a continuing basis, as stated in the SEC-approved curriculum of the Valuer Association of Thailand, to ensure sufficient self-development and knowledge improvement
, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should
, introduction of professional wealth advisor to provide a service of personal asset allocation and organizing series of financial literacy projects to reach the main targets, e.g. new generation workers in the
% * / )*100 Signing Partner Engagement Partner EQCR 2 9 AQIs 2. * EY 2563 - 2564 Big 4 (partner) 27 24 5 4 * / professional skepticism 10 3. * EY 2563 - 2564 Big 4 27.33% 20.31% * / AQIs 4. * EY 2564 Big 4
• Derivative Act о Investment Analysts / Consultants • ASEAN Investment Analyst / ASEAN Investment Consultant - Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework