ก.ล.ต. กล่าวโทษบุคคล 3 ราย ได้แก่ (1) บริษัทโปรเฟสชั่นแนล พอร์ทโฟลิโอ อินเตอร์เนชั่นแนล จำกัด หรือ Professional Portfolio International Ltd. (PPI) (2) Mr. Eric Jordan หรือ Mr. Eric Jack Jordan หรือ
ด้านการเปิดทางให้มีการเคลื่อนย้ายบุคลากรที่ทำหน้าที่วิเคราะห์และแนะนำการลงทุน รวมทั้งการเผยแพร่บทวิเคราะห์หลักทรัพย์ระหว่างกันได้ (Professional Mobility Framework) รวมถึงการทำงานร่วมกันของเครือข่ายในการ
ACMF implemented the Professional Mobility Initiative to facilitate cross-border publication of research reports. The objective of this framework is to promote wider investor participation in the ASEAN
responsibibly and carefully as professional under Clause 23(2), which are deemed prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory
and earning of the applicant significantly.In performing the duties of independent financial advisor, {X1} Securities and {A} failed to conduct a careful, professional due diligence on an acquisition of
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
businesses in their product and service offering for investors? best interest, and improves professional conduct to ensure that investors will have reliable information and efficient protection. The SEC also
of professional and experienced experts to render financial knowledge and advice as well as manage portfolios suitable for different clients? profiles via three websites: www. giltedgeintl.com, www.on
. In pursuing the goal to promote women’s roles in the Thai capital market, the IOD’s “Women on Boards” program will not only help enhance women’s knowledge and skills to be in readiness for professional
firm. ** An audit firm that has passed an inspection of the SEC has an audit quality control system in line with professional standards and sufficient personnel