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

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

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

more focused attention to the importance of AGM and continual progress from last year, both in terms of assessment scores and committed dedication to improve AGM efficiency. However, some issues are yet

better results reflect more focused attention to the importance of AGM and continual progress from last year, both in terms of assessment scores and committed dedication to improve AGM efficiency. However

their duties professionally, aware of their dignity with devotion, knowledge, and pride; so as to be recognized and set a good role model in exercising and protecting shareholders? rights; thereby making

. 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

“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