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
Declaration Under the ESG Declaration, shared action priorities are set: 1. Governance: Ensure good corporate governance and effective oversight at the board level, with clear accountability and responsibility
. Our Roles How We Regulate https://www.sec.or.th/EN/Pages/AboutUs/OrganizationStructure.aspx English (United States) Working Principles , executives and staff covers the following areas: Accountability
, executives and staff covers the following areas: Accountability Responsibility Equitable Treatment and Participation Disclosure and Transparency Internal Control and Internal Value Creation by Enhancing Market
: Forms of remuneration payment include monthly payment, meeting attendance fee, bonuses. If the company has regulations on remuneration payment that is in accordance with accountability and responsibility
อยูในลักษณะที่เปรียบเทียบไดกับระดับที่ ปฏิบัติอยูในอุตสาหกรรม ประสบการณ ภาระหนาที่ ขอบเขตของ บ ท บ า ท แ ล ะ ค ว า ม รั บ ผิ ด ช อ บ (Accountability and Responsibility) รวมถึงประโยชนที่คาดวาจะได