ตลาดทุนและภาคธุรกิจ ไม่เคยหยุดนิ่งในการผนวกกิจกรรมด้าน ESG เข้ากับกลยุทธ์และแผนในการดำเนินธุรกิจของบริษัทเพิ่มเติมจากการทำงานด้าน Corporate Social Responsibility (CSR) ซึ่งบริษัทจดทะเบียนส่วนใหญ่มีการ

Bangkok, 24 January 2024 – The Securities and Exchange Commission (SEC) reinforces collaboration with the Department of Special Investigation (DSI) regarding the legal proceedings against the

collaboration in case further clarifications or investigations are required. The meeting was held on 24 January 2024 at the DSI Building. In the picture (from left to right):1. Ms. Pattanaporn Tripipat, SEC

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

The MOU with the AMLO aims to enhance collaboration for the benefit of preventing and suppressing money laundering with a focus on mutual sharing of information and agency-specific expertise. This

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

-to-day responsibility for carrying them out. 12.3 Collaboration Where an investment institution is not of sufficient scale to have governance structures or internal resources to deliver effective