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
คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จึงปรับปรุงหลักเกณฑ์ที่เกี่ยวข้อง เพื่อรองรับกับมาตรการดังกล่าว โดยขยายขอบเขตการลงทุนของกองทุน Thai ESG เน้นบทบาท บลจ. ในการใช้ fiduciary duty เพื่อ
PETROCHEMICAL PUBLIC COMPANY LIMITED Disclosure Business News ( 1 record(s) found) Date Time Heading Link 15/12/2022 21:05 Entering into a transaction of disposition of investment in Gratitude Infinite Public
gratitude for His Majesty's benevolence and to foster social responsibility within the business sector through social contributions for the benefit of the public, which could subsequently support the
the King's 72nd Birthday Anniversary on 28 July 2024. This initiative aimed to express loyalty and gratitude for the benevolence of His Majesty the King, who has graciously initiated the Royal Volunteer
, Bangkok. Furthermore, SEC Thailand Assistant Secretary-General, Mrs. Charuphan Intararoong also participated in this seminar and conveyed deepest gratitude and sincere appreciation to Mr. Richard
Reporting Person : - | Type of securities : - | Date of reporting obligation : 14/09/2018
Reporting Person : - | Type of securities : - | Date of reporting obligation : 03/10/2002