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, August 16, 2016 ? The SEC is urging the shareholders of Adamas Incorporation Public Company Limited (ADAM) to thoroughly study the proposed share acquisition for business takeover of
shareholders? meeting on April 25, 2014.Earlier, Superblock Plc. ("SUPER") has proposed an acquisition plan for its shareholders? consideration where its subsidiary - Super Energy Group Co., Ltd. ("ENERGY") will
On 24 July 2020, NEWS will hold an extraordinary shareholders’ meeting to seek the shareholders’ approval for the acquisition of ordinary shares of Wealth Ventures, which operates Mercure Hotel
receiving the refund of the security deposit of THB 45 million if the share acquisition of Eastern Cuisine is not completed, etc.However, the Board of Directors and the Audit Committee of EIC were of the
MACO will seek approval from the shareholders’ extraordinary meeting on 14 January 2020, for the following transactions: (1) Acquisition of 50 percent of the total shares of Hello