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
Year : 2011
Reporting Person : - | Type of securities : - | Date of reporting obligation : 05/01/2005
Reporting Person : - | Type of securities : - | Date of reporting obligation : 26/02/2015
Period As Of Details CASTLE PEAK HOLDINGS PUBLIC COMPANY LIMITED 2023 Reviewed Company Q2 30/06/2023 CASTLE PEAK HOLDINGS PUBLIC COMPANY LIMITED 2023 Reviewed Consolidated Q2 30/06/2023 CASTLE PEAK
ชื่อผู้ได้มา/จำหน่าย :?CASTLE PEAK DEVELOPMENTS LIMITED | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 02/03/2560
ชื่อผู้ได้มา/จำหน่าย :?CASTLE PEAK DEVELOPMENTS LIMITED | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 14/10/2558
ชื่อผู้ได้มา/จำหน่าย :?CASTLE PEAK DEVELOPMENTS LIMITED | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 18/06/2558
Offeror : (ๅ) Miss Satita Viddayakorn (2) Dr. Satit Viddayakorn (3) Peak Development Holdings Ltd. | Date of submission of the Statement of Intention : 20/10/2016