integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due skill, care and diligence; 2 (3) management and
แบ่งปันประสบการณ์และให้ความรู้พื้นฐานและเสริมทักษะชีวิต (life skill) ด้านการจัดการและบริหารการเงินของตัวเองให้ดีกว่าที่เคย การออมและการลงทุนที่เหมาะสม รวมถึงการสร้างภูมิคุ้มกันทางการเงินที่แข็งแกร่ง กับ
strategy of diversifying its revenue streams within its area of core competence. This same strategy has continued to play a vital role in its ability to deliver industry- leading performance and providing a
competence. This same strategy has continued to play a vital role in its ability to deliver industry- leading performance and providing a natural hedge against short-term volatility in product margins. Core
outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for undertaking its business, with the knowledge, skill and expertise necessary for
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
engagement quality reviewers (EQR) of listed companies must have competence, capabilities and authority at a level not less than auditors in the capital market who audit listed companies. In the event that an
characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by
first assessment, all listed companies are expected to achieve Level 1, signifying intent to comply with laws and regulations with ability to communicate with all stakeholders.Vorapol Socatiyanurak, SEC
knowledge and relevant experience as a means to further gauge investors’ ability to take risks. The new rule will also allow investors to access a more diverse range of products and businesses to gain more