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
said: ?The bond market is one of the three pillars of the Thai economy apart from equity and commercial banking industries. During the past two decades, the bond market has experienced significant growth
Bangkok, February 21, 2014 ? The SEC and the PwC Thailand co-hosted the seminar ?Challenges facing audit committees on listed companies? sustainable development? to provide a venue for discussion and
, demonstrating growth in leaps and bounds.The corporate governance assessment of Thai listed companies under the 2014 ASEAN CG Scorecard program shows that Thai companies continue to be regional leaders on CG
business as a mechanism for achieving Thailand's strategic goals. This includes enhancing the economic competitiveness of investment management businesses, fostering business growth based on a sustainable
academic stages for interesting issues for exchange of views, and supports development and application of innovations and technology in capital market processes. SEC will monitor progress in aspects and