Derivatives agents (unaudited) (2016) - 7 Total Margin Loan Quarter 2/2023 8 Net Settlement Transactions Quarter 2/2023 Professional ( 2 record(s) found) No. Report Name Data File As of Data Definition 1
Business Information, The Department of Business Development Trainings Top Executive Program in Commerce and Trade (TEPCoT) (Class 14th) Professional Diploma Program in Forensic Accounting (Special
Bangkok, July 6, 2015 - The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against (1) Professional Portfolio International Ltd. (PPI), (2) Eric
derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel
person not the owner of securities trading accounts were failure to perform duties with responsibility and due care as the capital market professional, disguising that trading decisions were not actually
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as