their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the

providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose

the King's 72nd Birthday Anniversary on 28 July 2024. This initiative aimed to express loyalty and gratitude for the benevolence of His Majesty the King, who has graciously initiated the Royal Volunteer

. Her action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation of Section 89/7 of the SEA. This case is under

authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation

dedication and continuity. The SEC sincerely appreciates everyone's efforts in continuously disseminating financial and investment knowledge. The SEC is ready to support and recognize businesses across all

“This MoU reiterates the SEC Thailand’s dedication and extensive efforts with respect to the strategic plan on digital technology and sustainable capital market. It has indeed come at a crucial time