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 management of two agencies discussed on enhancing cooperation between SEC Thailand and the SECC for capital markets development and supervision. This included encouraging listed companies from Cambodia to issue cross-border securities offerings, through secondary listing or dual listing, which will benefit the businesses that are highly interconnected in the real sector. SEC Thailand and SECC also discussed about possibility in developing other cross-border products, such as depositary rece...
Mr. Wiboon Phatrapiboon, Assistant Secretary-General of the Securities and Exchange Commission (SEC), along with the executive team and staff, participated in the International Anti-Corruption Day
Mr. Wiboon Phatrapiboon, Assistant Secretary-General of the Securities and Exchange Commission (SEC), along with the executive team and staff, participated in the International Anti-Corruption Day
Bangkok, February 19, 2015 ? The SEC lifts up mutual fund rules to allow investment in derivatives and structured notes (SN) in line with international standards.Vorapol Socatiyanurak, SEC Secretary
be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to