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

In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related

Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate

on the upcoming or intricate financial reporting standards. Additionally, the SEC will continue to encourage listed companies to establish a more robust internal control system. In so doing, we will

Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries​ / Suggestions SHARE : For More Information ContactUs SEC Complaint

and delegation based the responsibility of each executive director. For the year in which the Company incurs a net loss or insufficient profit, the Board of Directors will refrain from consideration of