, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act

(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee

own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation

ที่กำหนดในหนังสือชี้ชวนและกฎเกณฑ์อีกด้วย สะดวกสบายซื้อขายง่ายทั้งผ่านตัวแทนขายของ บลจ. ATM หรือ Internet เป็นต้น อย่างไรก็ตามกองทุนรวมก็ยังมีประเด็นที่ควรรับทราบ เช่น ผู้ถือหน่วยลงทุนไม่สามารถตัดสินใจ

ได้อย่างมีประสิทธิภาพ และผู้ใช้บริการได้รับความสะดวกสบายมากยิ่งขึ้นก.ล.ต. ร่วมกับหน่วยงานพันธมิตรจัดโครงการ FinTech Challenge ครั้งที่ 2 ในหัวข้อ Fast Forward for the Future เมื่อวันที่ 27 กันยายน 2560

is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it

business, which also reduces redundant identification processes.  As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be

2015 and 2016 were restated because fictitious revenue had been recorded.  The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that

identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect

in the Thai capital market also resulted in higher level due to reliable financial reports of listed firms, helping facilitate those firms? overseas fund raising and boost competitive edge of capital