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
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
awareness and responsibility over project management for the benefit of digital token holders and increasing confidence in both fundraising and investment through ICOs. The proposal contains the following
per annum, with the promise that the company would repay the principal and generate the guaranteed returns gradually every 30 days until the investment contract expired. At the time of the inspection
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
interest guaranteed by the Ministry of Finance, and bills issued by the Bank of Thailand. For further details of this public hearing, please visit https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=961