} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client

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...

rest assured that their investments will contribute to the achievement of carbon neutrality and net zero GHG emissions of Thai listed companies and sustainability-themed bond issuers as well as

has reduced proportionately to the loss of Asia and Poland from the group. These re-baselined figures have been independently assured by KPMG in December 2020. We have surpassed our first emission

has been created for fund managers to screen listed companies for investment. This entire process demonstrates the commitment of AMCs and Thai ESG Funds. Investors can rest assured that their

and professionals Carrying out businesses with greater flexibilities; getting supports for strengthening competitiveness; being assured of stability of the systems monitored and maintained to

Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate