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
.: .......................................................................... Ally/Lane: ........................................................ Road: ............................................Sub-district: .........................District
Mr. Alan Sydney Roy Lane Mr. Alan Sydney Roy Lane, the authorized director responsible for the operation of EMM Consulting Company Limited ("EMM"), shall be liable to the penalty as
EMM Consulting Company Limited EMM Consulting Company Limited ("EMM"), represented by company directors Mr. Alan Sydney Roy Lane and Miss Ratanaporn Aoonta, had not been licensed to operate
principles: 1) Restorative by design: striving to be exemplary in environmental responsibility, helping to preserve, restore and regenerate the natural resources upon which it depends and doing so in harmony