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
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to
funding through capital market’s fundraising mechanisms and tools. To support liquidity of businesses affected by the COVID-19 pandemic who wish to raise fund using REIT buy-back, the SEC has considered
securities and derivative contracts that the clients wish to trade with no limit, in order for investors to have options and opportunity for investment in products that they wish to invest in, and the stop
criminal justice administration whereby the court will judge the case accordingly. Information contained in this news release is as of the aforementioned release date. For those who wish to see current
wish to see current status of the matter, please go to compliant filed with inquiry officer
clarification via the SET within seven days, or on 22 March 2018. __________________Information contained in this news release is as of the aforementioned release date. For those who wish to see current status