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
ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us FAQ Detail Content CSR Q: Why do companies engage in corporate social responsibility (CSR)? A
executives of listed companies in Thailand for the duration of the legal proceedings. Meanwhile, the managerial authority over POLAR’s assets was transferred to the receiver of the Legal Execution
), the next step is for creditors to submit a request for debt repayment to the official receiver of the Legal Execution Department, within one month from the publication date in the Government Gazette
the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives