responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
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
companies offering equities in Thailand. To begin with, the first category under the proposal covers primary listing where foreign companies offering equities and becoming listed firms only on the Stock
act as the loss buffer. The position risk calculation with respect to general market risk and specific risk for various investment including equities, debt instruments, and investment units will be
certified by all directors. In addition, an executive summary must also be distributed to investors together with a subscription form. The ACMF framework refers to the multi-jurisdiction offering of equities
access into funding sources. Meanwhile, SEC wishes to increase alternative financing resources for SMEs and startups, apart from equities. Thus, it has supported the issuance of the regulation for
Bangkok, July 24, 2014 ? The SEC launched a new version ?CG Thailand? website www.cgthailand.org , an information center on corporate governance, corporate social responsibility and anti-corruption