The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
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
Bangkok, 8 November 2017 ? The SEC is seeking public comments on the draft amendment to the Ministerial Regulation for Securities Business Licenses to provide flexibility and support new businesses in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to replace the current regime whereby each license represents a bundle of business undertakings, which proves...
Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries / Suggestions SHARE : For More Information ContactUs SEC Complaint
under the SEC Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower SHARE : For More Information ContactUs SEC Complaint
city/town/sub-district municipality Matters under the SEC Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower SHARE : For