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
of exploring and gathering documents and evidence as well as more information from overseas authorities for valuation of overseas investment. The SEC therefore allowed VTE to submit the audited
overseas as well as in Thailand. The revised rules cover guidelines for advertisement and publication, areas of permissible marketing activities in Thailand and instructions of benefits received from
Act, B.E. 2535. The DR issuers will be subject to the approval and disclosure rules to be specified later. In addition, the permissible DR must represent a security listed on overseas exchange as well
on another overseas exchange simultaneously or in proximate period, on the condition that equity trading volume on such oversea exchange is higher than that on the SET. In addition, the overseas
Bangkok, April 28, 2014 ? The SEC is seeking public comment on the use of trust as a means for fund raising and investment in overseas infrastructure projects or ?infrastructure trust? with a view to