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
นางสิริวิภา สุพรรณธเนศ รองเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมบรรยายในงานสัมมนาเรื่อง The State of Play In Sustainability Assurance จัดโดย ASEAN Federation of
Companies (ASCO), the Thai Life Assurance Association (TLAA), and the Thai General Insurance Association (TGIA). Following their first declaration of intent of collective anti-corruption on March 11 last year
enforce the application of high quality accounting and auditing standards. As the SEC has direct responsibility over a supervision of the auditors of securities issuers and entities under the SEC
enforce the application of high quality accounting and auditing standards. As the SEC has direct responsibility over a supervision of the auditors of securities issuers and entities under the SEC
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