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 Securities and Exchange Commission (SEC), in collaboration with nine partner organizations from the public and private sectors, co-organized the "Winner Announcement & Showcase" as part of the
digital showcase ในปีนี้ ก.ล.ต. ได้ร่วมออกบูธในรูปแบบดิจิทัล (digital showcase) โดยจัดทำเอกสารประชาสัมพันธ์และสื่อดิจิทัลให้ความรู้ที่เกี่ยวข้องให้ผู้เยี่ยมชมสามารถศึกษาข้อมูลได้ทางออนไลน์ และสามารถ
City” which available 24 hours for 5 consecutive days. The online exhibition booths consist of (1) Digital Showcase, (2) Global Summit, (3) Business Matching and (4) 1-on-1 Consultation Clinic. This
The seminar series will showcase a pool of knowledge and advice from certified financial planners (CFP) and experts on financial, investment and debt management. Investors and the interested public
ก.ล.ต. ร่วมกับ 9 องค์กรพันธมิตร ภาครัฐและเอกชน จัดงาน “Winner Announcement & Showcase” ภายใต้โครงการ “Capital Market Datathon” เพื่อประกาศผลทีมผู้ชนะรางวัลและแสดงผลงานไอเดียนวัตกรรมที่ประยุกใช้