investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
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
audit firm. 10 Part 2 Additional Duty of Auditors in the Capital Market Who are Leader of Audit Firm ______________________ Clause 25 Apart from the obliged duties under Part 1 of this Chapter, the audit
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
workpapers before an auditor affixed signature in giving opinions on auditing. Year of performing duty Number of companies Performed duty as Affiliated audit firm (1
/ [(the number of employees at the beginning of the period + the number of employees at the end of the period)/2] Position Names – Last Names Leader of Audit Firm 1. Persons with the highest responsibility