CDP Capacity Building Workshop 0222 - GHG Emissions Accounting Capital Markets Workshop GHG Emissions and Financed Emissions 2 June 2022 Stephanie Zega South Pole 2 Introducing your workshop host
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
การกำหนดหลักเกณฑ์ให้ผู้ประกอบธุรกิจสินทรัพย์ดิจิทัลจัดส่งและเปิดเผยข้อมูลคุณภาพการให้บริการ และจัดส่งรายงานการใช้ความสามารถของระบบงาน (IT usage capacity)
mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit
ตารางการรายงานข้อมูลคุณภาพการให้บริการและการใช้ความสามารถของระบบเทคโนโลยีสารสนเทศ (IT usage capacity) (แนบท้ายประกาศ กธ. 14/2565)