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

business providers must also have adequate personnel with the understanding in the basic operating principle, the risks of such an algorithm and the responsibility of using technology and use it to manage

, such as, the forms of services, the presumption of algorithm, any relevant risks, including the factors or events that would hinder the use of technology, and such information must be sufficient enough

hinder the impact affecting the investors, the capital market, and the country’s economy. This public hearing is the result from the reasons thereof, which proposes the revision of the report forms of

legal requirement on minimum face value of debentures may be too high and hinder retail investors to access debt markets, or the prohibition of set-off can cause unnecessary procedures and fees to issuer

responsibility as REIT manager, and [iii] shall not make applicant’s financial safety insecure, unless the applicant can provide systems to prevent the conflicts of interest and control risks sufficiently and