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

projects3.The main feature of this type of financing is the variation of the bond’s financial and/or structural characteristics, depending on whether the Issuer achieves predefined sustainability performance

SEC, Thailand can neither undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. The Notification of the Securities and Exchange

resources – and in light of the new responsibilities for private fund advisers – the Dodd- Frank Act also reallocated regulatory responsibility for certain smaller investment advisers to the state securities

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

Distribution Channels Quarter 2 of 2017 Quarter 2 of 2016 Variation THB % Domestic Restaurant and Bakery Business 1,408.7 1,403.2 5.5 0.4 Food and Bakery Wholesales Business 160.0 182.1 (22.1) (12.1) Overseas