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
Suwanmongkol and executives attended the GEMC Annual Meeting on 20 September 2019. Currently, the GEMC is composed of 80 member countries and chaired by Dr. Obaid Al Zaabi from the Securities and Commodities
Bin Abdulaziz Al-Homoud, member of CMA Board of Directors, and other CMA executives, to discuss and share information on capital market developments of both countries as well as exchange views on
Bin Abdulaziz Al-Homoud, member of CMA Board of Directors, and other CMA executives, to discuss and share information on capital market developments of both countries as well as exchange views on
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
ซาอุดีอาระเบีย) และ Mr. Khaled A. AL Homoud กรรมการ พร้อมด้วยผู้บริหารของ ก.ล.ต. ราชอาณาจักรซาอุดีอาระเบีย เพื่อหารือแลกเปลี่ยนข้อมูลเกี่ยวกับพัฒนาการด้านตลาดทุนของทั้งสองประเทศ รวมทั้งแลกเปลี่ยนมุมมองด้านนโยบาย