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
14th Money Expo Chiang Mai 2019 at the Chiang Mai Hall, Central Plaza Chiang Mai Airport. SEC was with the responsibility to provide basic knowledge on the capital market and digital assets, to
resources – and in light of the new responsibilities for private fund advisers – the Dodd- Frank Act also reallocated regulatory responsibility for certain smaller investment advisers to the state securities
financial sector towards the country’s shift to an environmentally sustainable future. • At the same time, this guide represents a huge opportunity for the growing numbers of individual and institutional
's Q3/2019 performance would significantly improve because of receive a huge medical treatment income of chronic diseases from Social Security Office through his securities trading accounts during 10
about CHG's Q3/2019 performance would significantly improve because of receive a huge medical treatment income of chronic diseases from Social Security Office through her securities trading accounts