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

climate-related physical or transition risk changes over the short, medium, and long term. Novel and uncertain nature Many of the effects of climate change have no precedent, limiting the ability to apply

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

increased ,while the Social security revenue of subsidiaries decreased. Payment system of Social security office is uncertain therefore in Q1/2019 subsidiaries did not receive revenue of chromic disease. 2

Bangkok, July 24, 2014 ? The SEC launched a new version ?CG Thailand? website www.cgthailand.org , an information center on corporate governance, corporate social responsibility and anti-corruption

responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 12/2551 Re