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...

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...

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

appraisal company in the capital market and the main appraiser Obligation of Asset : None 4. Total value and methods used to determine the total transaction value 4.1 The Acquisition and Disposal of Assets

• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA

equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty and responsibility to disclose accurate and sufficient information that should be informed

making of investors significantly or ensures equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty and responsibility to disclose accurate and

At present, real estate investment trusts (REITs) and infrastructure trusts are asset trusts that only have the legal obligation to prepare and disclose information, but in practice such

Pittayasophon, provided an update on the progress of the Strong Securities Issuers Project to enhance the quality of listed companies and the duty performance of personnel in the capital market, with the main