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

and social responsibility (ESR) and respect for human rights, to increase confidence and  Thai capital market standards for the benefit of sustainable growth. The seminar featured special talks by local

expectations in terms of social responsibility and environment.In view of this, the board of directors, as the governance body, should ensure that the company has in place a mechanism to govern decision-making

investment slowed down as confidence in the election and the direction of investment from the government through large projects. In the third quarter of 2018, the Company is more productive for our customers

who feel excluded underperform, while people who are happy at work are 13% more productive • Organizations in the top quartile for LGBTI diversity have a profitability 25% higher than average • Diverse

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