, 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

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

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

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

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

Derivative Warrants | SCB11C1408A | DERIVATIVE CALL WARRANTS ON THE SIAM COMMERCIAL BANK PUBLIC COMPANY LIMITED ISSUED BY KASIKORN SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN AUGUST 2014 # A

Derivative Warrants | TMB11C1408A | DERIVATIVE CALL WARRANTS ON TMB BANK PUBLIC COMPANY LIMITED ISSUED BY KASIKORN SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN AUGUST 2014 # A | Stock in SET50

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