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 Ministry of Finance, referring to the Ministry’s policy, stated: “In our role as the public sector pillar in finance and economy for sustainable development, we need to address national
Group on Sustainable Finance, consisting of the Fiscal Policy Office, the Bank of Thailand, the Securities and Exchange Commission, the Office of Insurance Commission, and the Stock Exchange of Thailand
hearing are available in the appendix of this consultation at http://capital.sec.or.th/webapp/phs/upload/phs1510556854hearing_38_2560_S01.pdf.This current hearing, as requested by the Finance Ministry
Finance : Scaling Up Sustainable Finance Solutions for Accelerating Progress on the SDGs ซึ่งจัดโดยสมาคมเครือข่ายโกลบอลคอมแพ็กแห่งประเทศไทย (GCNT) และองค์การสหประชาชาติประจำประเทศไทย (UN) วัตถุประสงค์
Mr. Pornchai Chunhachinda holds a Bachelor’s Degree in Accounting (Honor) from Chulalongkorn University, an M.B.A. from Thammasat University, a Master of Science and a Ph.D. in Finance from