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
consumption patterns ..................... 8 3.3 Considerations for criterion choice ........................................................................................... 9 Rationale for universal
based on the total value of consideration criterion, the size of GSG Shares Acquisition Transaction and Advertising Media Renovation Transaction are 6.53 percent and 10.61 percent respectively, referenced
total value of consideration criterion which granted the highest result, referenced from the consolidated audited financial statement of the Company ended March 31, 2019. After the computation of the
Notifications”). The transaction size is 1.29 percent as calculated based on the total value of consideration criterion which granted the highest result, referenced from the consolidated audited financial
principles: 1) Restorative by design: striving to be exemplary in environmental responsibility, helping to preserve, restore and regenerate the natural resources upon which it depends and doing so in harmony