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
Goals (SDGs), the government cannot do it alone. It will require a shared responsibility and strong engagements of all stakeholders. Private sectors need to play a critical role in working hand in hand
vocal about engaging with sustainable brands Only 58% of these organizations are moving sustainability programs into implementation Only 22% are measuring progress against targets Context Global shift
shift investment towards low carbon transport infrastructure. 2.2 The role of climate bonds Leveraging debt capital markets towards sustainable transport infrastructure development and services has
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
principles: 1) Restorative by design: striving to be exemplary in environmental responsibility, helping to preserve, restore and regenerate the natural resources upon which it depends and doing so in harmony