, corporate social responsibility and qualifications of employees in charge of corporate governance. The proposed revision would help investors and other stakeholders to gain a greater knowledge of the
, corporate social responsibility and qualifications of employees in charge of corporate governance. The proposed revision? would help investors and other stakeholders to gain a greater knowledge of the
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
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
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
safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by
attend the extraordinary general meeting on 26 August 2018 and exercise their rights as shareholders to safeguard their own interests in accordance with the law. -------------------------
accounts to transfer fund or digital assets in order to safeguard themselves from frauds. Investors are strongly advised to contact Bitcoin Co. Ltd. (BX) via its website at https://bx.in.th/ only. The