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
Having joined SEC since 1999, Assistant Secretary-General Archinee Pattamasukhon holds a bachelor’s degree in Business Administration (Finance), the University of the Thai Chamber of Commerce
and General Administration Department, the Human Resources Department, and the Organizational Risk Management and Governance Development Department. Her appointment will become effective on 16 May
Bangkok, October 24, 2014 ? The SEC and the Faculty of Business Administration, National Institute of Development Administration (NIDA) co-organized the ?4th SEC Working Papers Forum,? under the
Enforcement Department 2 and the Litigation Department. His appointment has become effective as from 1 February 2024. Pol. Lt. Col. Sutthisak Jitpimonmas holds a bachelor’s degree in Public Administration from
Administration Division, and the Corporate Communication Division. Therefore, he has become an ex-officio spokesperson for the SEC, effective from 8 December 2023 onwards. ________________________Remark
accounting students, Faculty of Business Administration and Information Technology, the Rajamangala University of Technology Suvarnabhumi (RUS), with approximately 100 participants. This lecture was part of