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
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
asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit
Baht 1,000,000,000 on November 1, 2021; and Pay the fourth instalment amounted to Baht 1,020,000,000 on November 1, 2022 Key Responsibility of the Company : The Company has to complete a release of
and Equity of the Company. - Sale of Assets under construction to Free Zone in order to alleviate payment of import duty, VAT, Customs Duty & Penalty. This resulted in Loss from sale of fixed assets
. หลกัควำมไวว้ำงใจ (fiduciary duty) 4. แนวทำงกำรปฏิบติัตำมหลกัธรรมำภิบำลกำรลงทุน ส ำหรับกองทุนส ำรองเล้ียงชีพ 5. ปัจจยัส่ิงแวดลอ้ม สังคม และธรรมำภิบำล (Environmental, Social, and Governance: “ESG