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
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
Bangkok, May 25, 2016 ? The SEC will hold a public seminar titled, ?FinTech Forum: FinTech Data Analytics? to capture the growing financial business trends and technologies particularly in the area
director, senior portfolio manager, Asia, Morgan Stanley Investment Management (6) Jenn-Hui Tan, global head of stewardship & sustainable investing, Fidelity International (7) Danielle Welsh-Rose, ESG
, which rose from 8 to 9 out of the total 10 scores, as well as the Corporate Transparency Index which increased in the area of shareholders’ rights to propose agenda items for the shareholders meeting
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
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and