firms and the audit work quality of listed companies.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The overall results of the second-cycle inspection show continued improvement in the work

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

. The SEC also encouraged audit firms to prepare for compliance with the International Standard on Quality Management 1 to drive the improvement of the quality control system of audit firms in the capital

have opportunities for further improvement especially on the board responsibilities conforming to the best practice guidelines. The SEC together with The Stock Exchange of Thailand, Thai Institute of

, social and environmental responsibility, including “human rights and equality”, in which businesses in the capital market have showed continuous improvement. The practice is in accordance with the

MANAGEMENT APPROACH INNOVATION & SUSTAINABILITY WORKING TEAM CORPORATE GOVERNANCE BOARD INNOVATION & SUSTAINABILITY STEERING COMMITTEE CORPORATE SOCIAL RESPONSIBILITY WORKING TEAM ENVIRONMENTAL MANAMENT