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
law and standards. Guidelines 1.3.1 In assessing whether directors and executives have performed their fiduciary duties with the required responsibility, due care and loyalty, reference should
. The SEC considers qualifications of securities issuers and supervises the disclosure of information in order for the investors to have sufficient information in making an investment decision
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
the audit of information technology general control (ITGC), as many medium-and small-sized audit firms had been identified by the results of inspection to lack sufficient competent personnel in
sufficient flexibility to allow markets to function effectively and to respond to new expectations of shareholders and other stakeholders. The Principles are widely used as a benchmark by individual
encourage active co-operation between companies and employees. Securities regulators, stock exchanges, self-regulatory organisations and investor groups should continue to educate companies and the public