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
matters including inability to obtain certification from the company’s management regarding responsibility for the financial statement preparation, inability to audit operating system manual in petroleum
of outstanding work made by 40 volunteers under the shareholders? rights protection campaign launched by the TIA in the past years. This aimed at encouraging them to perform their work efficiently
responsibility for the financial statement preparation, inability to audit operating system manual in petroleum gas selling system, gas packaging tanks purchasing system and small-sized gas cylinders quantity
original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of
has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising
favorable. The company received orders for 17 Hydraulic Press machineries, resulting in outstanding backlog of up to 222 million Baht. However, during the third quarter of 2017, customers were unable to