trust manager, as well as overseeing the trust manager’s performance of duties as prescribed in the trust deed;  (5) Only institutional investors and ultra-high net worth investors* shall be eligible as

always exercised its duties and authority strictly, covering both criminal proceedings and civil sanctions. The public can rest assured that the SEC exercises utmost discretion to enforce the law strictly

Financial Advisor and Scope of Duties (No. 13), dated 2 April 2024: https://publish.sec.or.th/nrs/10171s.pdf. 

availability of PVD data, to prescribe a clear application process and document requirements for fund registration, to improve the duties of employers, the Provident Fund Committee (PC) and fund managers, and

rigorously perform their duties according to the laws and terms and conditions of the bonds, taking into consideration the bondholders’ interest._____________________Remarks:SEC News Release No. 80/2023 “SEC

originally intended by the investors. Such wrongful acts incurred damages onto several clients, at an initial large sum of 74.8 million baht.  SEC has considered that Napasook failed to perform duties or

affected client.  Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the

profits from the order.   SEC views that {A}’s act did not comply with the investor’s order and was deemed failure to perform duties with responsibility and deliberation as a professional**. SEC has

failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore

factual misstatements, limitations of the accounting systems, insufficient internal coordination, and the lack of awareness of the role and duties of the chief financial officer (CFO) and accountants in