be responsible and perform duties with prudence and care in compliance with laws, rules and regulations. The SEC therefore put Weerawat on probation by accumulating three demerit points on his record
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
closely coordinating with the DBD, the SEC has considered legal issues under the Securities and Exchange Act (SEA) thoroughly to ensure prudence and fairness for all parties. The DBD recently informed the
Company in the past six months the cumulative transaction size is still lower than 15 percent also. The Company certifies that this information is true and correct and has been compiled with prudence and
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market
control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial prudence An intermediary shall
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest as well
management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest