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

supplementary to the Thai version thereof. Please note that the translation has not been subjected to an official review by the SEC Office. The SEC Office, accordingly, cannot undertake any responsibility for its

APEX DEVELOPMENT PUBLIC COMPANY LIMITED Apex Development Public Company Limited (“APEX”) had a duty to prepare and submit the financial report for the first half of the fiscal year 2022 and the

year 2018 ended September 30, 2018 as follows, Oishi Group Financial Performance for the year 2018 Sales Overview For the fiscal year 2018, revenue from sales and services of the Company was Baht 12,596

9 WATTANAPAT HOSPITAL TRANG PUBLIC COMPANY LIMITED No. WPH – SET 002/2020 21 February 2020 Subject : Management Discussion and Analysis for the fiscal year ended on 31 December 2019. To : Directors

latest year before filing the application for registration as a foreign auditor in the capital market Currency Unit ________ No. Company Name Type of business Fiscal Year Ended Total Assets Total Revenue