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
technological advancement, as well as how to protect investors and create a fair and efficient capital market.2. Rebuilding the Future of Finance: Digital Assets & Proof-of-Responsibility The panel will
world's largest voluntary corporate responsibility initiative." GRI Standards GRI is an independent international organization that has pioneered sustainability reporting since 1997. The GRI Standards are
& Proof-of-Responsibility The panel will analyze the causes of the crisis stemming from rapidly decreasing digital assets’ value, which is affecting the confidence of global investors and financial
Corporate social responsibility (CSR) has several attributes that are inherently unobservable or measured with errors. This study proposes an alternative methodology to account for measurement errors in CSR