Common share | Public Offering | Offering Date - 01/09/2003 - 03/09/2003
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
The Securities and Exchange Commission (SEC) organized a training session for “New Generation Fund Managers with Environmental Awareness, Class 1” aimed at fostering the role of emerging fund
The new partnership between CDP, which runs the global TCFD-aligned environmental disclosure system, and the SEC will include collaboration on a number of important areas including: • Co-developing