for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and
auditors and perform the audit under the provisions of the law governing auditors and any additional regulations specified in the notification of the SEC. The approval of the auditor under the first
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.
opportunity for new comers to perform technical analysis function in the capital market. The approval term will last two years, providing that the technical analysts will be required to pass certain
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The
securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of