The Securities and Exchange Commission (SEC) organized a virtual training session on “Ethical and Moral Standards of the SEC Staff and the Building of Trust and Confidence in the SEC”. The online

workshop on “Human Rights Due Diligence (HRDD) in Business Operations and Promoting Ethical Recruitment Practices." The workshop aimed to enhance the capacity of businesses to operate with respect for human

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

in accordance with the ethical standards as specified in Section 5 of the Ethical Standards Act, as follows:(1)  Loyalty to the core national institutions, i.e., Nation, Religion and Monarchy, as

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the Ethical Standard Act B.E. 2562 (2019), which has come into force since 17 April 2019. Details of the Declaration of Intent (Thai version only) are available at https://www.sec.or.th