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
and social responsibility (ESR) and respect for human rights, to increase confidence and Thai capital market standards for the benefit of sustainable growth. The seminar featured special talks by local
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
command is subject to the board's discretion. In any case, the organizational structure should support efficient duty performance of the company secretary. Generally, the position should be under the
investment slowed down as confidence in the election and the direction of investment from the government through large projects. In the third quarter of 2018, the Company is more productive for our customers