Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...

professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions:             (1) {D

directors and executives who were his close associates.Mr. Perajed Suwannapasri’s actions constituted a failure to perform his duties with responsibility, prudence, and integrity, causing damage to GIFT or

The allegation is a consequence of various complaints lodged to the SEC in relation to the increased debt of THB 26,000 million of EARTH following its submission of the financial statement for the first quarter of 2017.  The increased debt resulted in a decrease of the shareholders’ equity of THB 10,349 million to become minus THB 15,651 million.  In addition, in July 2017 the Board of Directors had resolved to approve that EARTH underwent a business rehabilitation process.  The SEC, the...

preparing for the World Bank’s Business Ready (B-READY) assessment. During the discussion, Ms. Winita outlined the SEC’s role in fostering good governance, and social and environmental responsibility among

Additional Particulars in Trust Instrument for Creating Reserve Account or Sinking Fund

insight between top executives of listed companies and the SEC. The Forum focused on corporate responsibility to society and environment along with corporate governance and anti-corruption. Featuring in the

and youth in the BAAC School Bank project in over 2,000 schools nationwide.BAAC Manager Apirom Sukprasert said that the BAAC focuses on educating students with financial knowledge, creating savings

, the institutional investors this year pushed for more concrete cooperation in determining proxy voting guidelines to promote good corporate governance, corporate social responsibility and anti

. 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. PAGE (Translation) 2 The Securities and Exchange