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

solicitor/advisor such as company’s name, address, website, online media, full name and contact details   of solicitor/advisor, etc. ●   Services information / recommendation received/ solicitation

application for approval of establishment of limited company or public limited company to undertake such business with the Minister for his approval under the SEC’s recommendation. Such application shall be

with the Minister for his approval under the SEC’s recommendation. Such application shall be filed with the SEC via the SEC office in form and together with supplementary documents specified in the SEC’s

system, record keeping system and system for making reports concerning venture capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for

of responsibility or caution, or reflecting unfair or incredible manner, except where it is proper, the Minister upon the SEC’s recommendation may give a waiver of such disqualified characters to such