Bangkok, 16 September 2016 ? The National Legislative Assembly has approved the new amendments to the Securities and Exchange Act (SEA), which aim to enhance enforcement efficiency by amending the
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
Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-secact.doc ACT-SEA1992
, enacted by the Majesty the King, by and with the advice and consent of the National Legislative Assembly, as follows: SECTION 1. This Act shall be called the "Derivatives Act (No. 2), B.E. 2551". SECTION 2
Development Goals Sustainable Development Goals (SDGs) - Countries of the UN General Assembly adopted a set of goals to end poverty, protect the planet, and ensure prosperity for all as part of a new