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
, the Ministry of Finance, referring to the Ministry’s policy, stated: “In our role as the public sector pillar in finance and economy for sustainable development, we need to address national
Group on Sustainable Finance, consisting of the Fiscal Policy Office, the Bank of Thailand, the Securities and Exchange Commission, the Office of Insurance Commission, and the Stock Exchange of Thailand
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PTTEP AUSTRALIA INTERNATIONAL FINANCE PTY COMPANY LIMITED | Year 2011
SRISAWAD FINANCE PUBLIC COMPANY LIMITED | Q1/2011
SRISAWAD FINANCE PUBLIC COMPANY LIMITED | Q3/2011