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

expectations in terms of social responsibility and environment.In view of this, the board of directors, as the governance body, should ensure that the company has in place a mechanism to govern decision-making

million due primarily to higher Gross Profit Margin from 33.5% in Q1/ 2018 to 36.1% in Q1/2019 as a result of fruitful continued product cost reduction; - Whilst SG&A including Interest expenses up 5% Y-O-Y

regulators affirmed their intention to continue working together for further fruitful collaboration and strengthen the relationship between them._________________________

development. MOU signed today is a step forward in our regional co-operation and integration and SEC-Cambodia looks forward to a long and fruitful partnership with SEC-Thailand in the years to come. We believe

Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate