responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
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
taxonomies/classifications Strengthening of government policy and legislation These shifts are likely to lead to: - Increased accountability, transparency - A red line under impact-washing related challenges
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมการเสวนาออนไลน์หัวข้อ “Achieving Gender-Inclusive Business through Accountability and Transparency
Declaration Under the ESG Declaration, shared action priorities are set: 1. Governance: Ensure good corporate governance and effective oversight at the board level, with clear accountability and responsibility
sustainability goals can be met.Ms. Pornanong Budsaratragoon, Secretary General, Securities Exchange Commission of Thailand (SEC) said "Thai capital market is entering a chapter of increased expectation on
responsibility must be lived up with to boost confidence and upgrade standards in corporate governance for companies listed in Thailand.Mr. Rapee Sucharitakul, Secretary-General of the Securities and Exchange