Bangkok, September 8, 2014 ? The SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project organized an event on ?Preparing for Happy Retirement
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
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
early increase chances of achieving happy retirement.The SEC Working Papers Forum has been hosted under the Memorandum of Understanding between the SEC and four leading business schools, aiming to apply
has partnered with SET, the Association of Provident Fund (AOP), and the Association of Investment Management Companies (AIMC) to officially launch the program “Happy PVD Company”, which promotes and
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