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

Introduction 1. Objectives of the Investment Governance Code During the past decade, global organisations, corporations, and civil society organisations have strengthened focus on measures to address and resolve

.  This amendment approved by the Capital Market Supervisory Board Meeting No. 2/2565 on 15 February 2022 aims to resolve the limitations related to the underwriter’s securities allocation to be in line

provision of Class Action in the Thai legal system results from the endeavor of the Securities and Exchange Commission, Thailand (“SEC") to resolve the problem that the damaged investors could not get

procedures assign responsibility for review of all reports, financial statements, and working papers to a reviewer who is senior to the preparer? If yes, please describe the policies and procedures If no, how

work done is appropriate? 2 Do the firm’s responses to quality risks specify assigning the responsibility for reviewing all reports, financial statements, and working papers to a reviewer who is senior