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

proactive teamwork to further advance joint initiatives in various areas such as promotion of listed companies’ adoption of Sustainable Development Goals. The meeting took place at the SEC Building on 5

capital market and the digital economy at large.  “We would like to sincerely thank all TDO members for joining this transformative occasion to strengthen our cooperation and proactive teamwork to further

the top five corporate culture qualities identified by Guiso, Sapienza, and Zingales (2015): innovation, integrity, quality, respect, and teamwork. Using the resource dependency theory and agency theory

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

SEC is ready to cooperate and render support to the Teachers and Educational Personnel Debt Management Project under this MOU by contributing information, teamwork and speakers to provide knowledge