, 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
time. Third, Country Top 3 PLCs Award is given to companies with the top 3 highest scores in each country. For Thailand, the top 3 highest performers in SET-symbol alphabetical order are Bangchak
Facebook page ชื่อ Stocks of time : Unlicensed securities and derivatives business (Disclosure Date : 02/11/2023)
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
development plan, financial technology development and trending changes of customers’ behavior.” SFF 2020 was held for the fifth time. It organizes under People and Talent concept which focusing on the ability
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
and enhance the operational efficiency of the organization. We formulate a digital strategy plan for the first time, using digital technology and data as key drivers. The plan includes the use of