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

investments to establish a sustainable value chain and ecosystem. Additionally, we advocate for the use of new financial tools to mobilize private sector capital towards achieving the SDGs. This effort requires

Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate

along with financial advocate, chief financial officer (CFO), for example. The SEC will work on curriculum design, volunteer mentors, and employers? human resource staff training to become financial

against securities and exchange law. This seminar is the starting point to help lawyers to be preparedness and extend their ability to advocate or advise investors on legal requirements and procedures

economy. In this regard, the AIMC will consider various suitable fund models and benefit proposals in the future. Furthermore, the SEC will advocate for the integration of the country's pension systems and