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
. 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
investors in the bond market.” SEC Bond Check Version 2 allows investors and the interested public to search for a wider range of information and details using advanced functions. For example, users can
personal care revenues recorded at THB 678 million, an increase of 0.5% YoY). The growth driver were the continued success of Babi Mild from the momentum of Babi Mild Sweet Almond range launched in Q2’19 and
investors to invest in a diverse range of securities products. By requiring that all types of securities offering to high net worth investors be proceeded through intermediaries, the proposed revision would
of Accountancy from Chulalongkorn University, Thailand and a Master of Business Administration from Western Michigan University, USA. She has a wide range of experiences on capital market, including