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
TYCOONS WORLDWIDE GROUP (THAILAND) PUBLIC COMPANY LIMITED | Q1/2011
TYCOONS WORLDWIDE GROUP (THAILAND) PUBLIC COMPANY LIMITED | Q2/2011
TYCOONS WORLDWIDE GROUP (THAILAND) PUBLIC COMPANY LIMITED | Q3/2011
TYCOONS WORLDWIDE GROUP (THAILAND) PUBLIC COMPANY LIMITED | Year 2011
TYCOONS WORLDWIDE GROUP (THAILAND) PUBLIC COMPANY LIMITED | Q1/2012
TYCOONS WORLDWIDE GROUP (THAILAND) PUBLIC COMPANY LIMITED | Q2/2012
TYCOONS WORLDWIDE GROUP (THAILAND) PUBLIC COMPANY LIMITED | Q3/2012
TYCOONS WORLDWIDE GROUP (THAILAND) PUBLIC COMPANY LIMITED | Year 2012