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

objectives of the SEC Strategic Plan 2016-2018, which include the promotion of best practice among institutional investors. The market needs them to be active and committed to social responsibility, as far as

voice and influence that reaches far beyond its immediate client base. The Group is committed to embracing this responsibility and striving to be a positive driving force in how it addresses

assumes no responsibility for the economic and financial soundness of the transactions contemplated by this Prospectus or the quality or solvency of the Issuer. Application has been made to the Luxembourg

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

allowing someone else using a securities trading account or a banking account, fraud by management, market manipulation, and insider trading) are which DSI has a responsibility for. Is imposed by the