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
financial statement preparers, comprising chief financial officer, chief accountant and accounting staff where qualifications and responsibilities of the preparers will be determined. Besides, expectation of
, ill-informed decisions with the expectation for high returns and even topped up benefits from signing up other persons into the network scheme. Investors are advised to avoid such investment scheme as
, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse
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
-informed decisions with the expectation for high returns and even topped up benefits from signing up other persons into the network scheme. These solicitations of digital asset investment may also lack clear