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
Facebook page "Bankok Dusit Hospital" impersonates “Bangkok Dusit Medical Services Plc.” : Unlicensed securities and derivatives business (Disclosure Date : 26/08/2024)
Facebook page “Bankok Dusit Hospital” impersonates “Bangkok Dusit Medical Service Plc.” : Unlicensed securities and derivatives business (Disclosure Date : 15/10/2024)
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
Facebook Page อ้างชื่อ Bankok Dusit Hospital - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 15/10/2567)
Facebook Page อ้างชื่อ Bankok Dusit Hospital - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 26/08/2567)
responsibility Bangkok, 28 March 2019 – The SEC has suspended approval of three securities investment consultants, namely (1) {A}, (2) {B} and (3) {C}, for failing to perform duties with responsibility and