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

matters including inability to obtain certification from the company’s management regarding responsibility for the financial statement preparation, inability to audit operating system manual in petroleum

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

advice. Neither the EY organization nor any of its member firm thereof shall bear any responsibility whatsoever for the content, accuracy, or security of any third-party websites that are either linked (by

, executives and staff covers the following areas: Accountability Responsibility Equitable Treatment and Participation Disclosure and Transparency Internal Control and Internal Value Creation by Enhancing Market

also prosper. Effective stewardship benefits companies, investors and the economy as a whole. 2. In publicly listed companies responsibility for stewardship is shared. The primary responsibility rests