basis after the AGM meeting has been held. This postponement option is pursuant to the Notification of the Department of Business Development regarding Measures for Handling the Spread of COVID-19 in
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
SEC Secretary-General Ruenvadee Suwanmongkol said that the ongoing spread of COVID-19 is affecting some securities companies and derivatives business operators to the point that it is necessary to
Bangkok, 19 March 2020 – According to the Cabinet’s resolution on 17 March 2020, approving the postponement of the public holidays during 13 -15 April 2020 to prevent and contain the spread of the
Thailand (SET) to discuss possible solutions to the AGM holding of listed companies amid the spread of COVID-19, SEC has disseminated the circular and frequently asked questions to inform all listed