with responsibility, prudence, honesty and integrity, and in accordance with the law for the utmost benefit of the company under the Securities and Exchange Act's Section 89/7

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

. However, Mr. Suphanan failed to perform his duty as directed and submitted a clarification letter to the SEC. The SEC considered his explanation inadmissible. The SEC has viewed that Mr. Suphanan’s

resources – and in light of the new responsibilities for private fund advisers – the Dodd- Frank Act also reallocated regulatory responsibility for certain smaller investment advisers to the state securities

, “Corporate Social Responsibility: CSR” or “Environment, Social, Governance: ESG”) has become increasingly popular since the past decade or so. However, the concept was conceived and cultivated at both national

also prosper. Effective stewardship benefits companies, investors and the economy as a whole. 2. In publicly listed companies responsibility for stewardship is shared. The primary responsibility rests