, which have duty to prepare and file with the Office such reports on the financial status and business operation, margin accounts, and clients’ assets, as required by the Notification of the Office of the
reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. The Office of the Securities and Exchange
, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. The Office of the Securities and Exchange Commission Notification
derivatives, management of derivatives business, management of customers’ assets in derivatives business or any other positions or nature of work similar thereto for which the job holder is required to obtain
Experience1 List of Required Examinations2 Investment Analysis on Derivatives Related Rules on Investment Analysis 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 2
clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty
Capital Market Supervisory Board, and the SEC Office. The SEC Code of Governance was prepared as required by law and equivalent to industries and international standards. This is to ensure that the