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

electricity generation facilities 1.1.2. Wholly dedicated transmission infrastructure and other supporting infrastructure for onshore solar electricity generation facilities including inverters, transformers

ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how

operate: • Onshore wind energy generation facilities Dedicated transmission infrastructure and support facilities (e.g. transformers, backbone, transmission terminus, grid connections, dedicated facilities

Will your project meet the Grids and Storage Criteria? It’s as easy as 1 2 3 6. Electricity storage facilities, and: 7. Dedicated supporting infrastructure to all the above. For grid infrastructure, this

“As the global community confronts the unprecedented challenges of climate change, CFA Institute and CFA Society Thailand are dedicated to providing the highest quality education and resources for our