SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
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
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
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