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

KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 17/10/2007 - 31/10/2007

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 29/11/2006 - 19/12/2006

THAI ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund

PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 12/10/2007 - 19/10/2007

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 24/11/2004 - 14/12/2004