qualifications, has a prohibited characteristic, performs duties defectively, or fails to comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose
Duties Performing the duties with accountability, using knowledge, competency, experience, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing
Duties Performing the duties with accountability, using knowledge, competency, experience, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing
regarding unfair securities trading activities. (7) not having the following prohibited behaviors; lack of professional ethics or violation of or non-compliance with the regulations
for capital market transaction, an appraisal company in capital market and a lead appraiser shall perform duties in accordance with standards and ethics regarding appraisal profession and with
association relating to securities businesses with the objectives of promoting the operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so
. Post-Approval Duties Complying with the specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other
specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other additional regulations prescribed by the law governing
. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor
securities company with disqualified characteristics under sub-clause (3); (5) have financial condition or result of operation which the SEC may consider that the securities company severely suffers loss, the