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
- date relevant information. • Recognise that unregulated investments are higher risk as there is little investor protection. • Accept responsibility for the financial outcome of an investment decision an
) show that in the U.S., trade prices tend to cluster around integers, half-dollars and quarters. Literature review • Round numbers have also been linked to cognitive limitations and investors’ tendency to
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
Cognitive aspects influencing the navigation of complex saving vehicles 2 Experimental survey Overview of this talk Talk outline 6 1. Life-cycle patterns of retirement saving and adequacy implications 2
Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries / Suggestions SHARE : For More Information ContactUs SEC Complaint