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

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

disclose the information through the SET Electronic Information system. As a listed company, JKN has the responsibility to disclose accurate and comprehensive information in compliance with the Securities

) ..................................................... 3. Applicant’s address: Head Office No: ......................... Building: ..............................Floor No. /Room No. .................................... Residence No

solicitor/advisor such as company’s name, address, website, online media, full name and contact details   of solicitor/advisor, etc. ●   Services information / recommendation received/ solicitation

. Applicant’s address: Head Office No: ......................... Building: ..............................Floor No. /Room No. .................................... Residence No