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
the society in some ways. This is also a great opportunity for our SEC family to share happiness with our fellow Thais. “SEC Staff is very pleased to be a part of social sharing through the Pantry
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมออกบูธในงาน Digital Governance Thailand 2023 (DGT 2023) ภายใต้แนวคิด “Happiness Creation #ชีวิตดีเมื่อมีดิจิทัล” ซึ่งสำนักงานพัฒนา
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
responsibility only for the functions undertaken by business operators themselves. This would allow SEC to supervise each business operator directly. The consultation paper is available at https://www.sec.or.th/TH
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk