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
Bangkok, February 24, 2015 ? The SEC announced the success of ?Pride of the Provinces? Project in the past three years joined by 289 companies from 42 provinces. Recently, 15 participants obtained
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เป็นประธานกล่าวต้อนรับและเปิดงาน “Tech career coaching 2021 : Step Toward Success” ซึ่ง ก.ล.ต. จัดร่วม
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงานสัมมนา “Women in Business: Why Thailand is a success story in women leadership” และกล่าว
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
Bangkok, March 14, 2014 ? The SEC organized an event to announce the success of ?Pride of the Provinces? Project, joined by 219 companies from 39 provinces since its launch in 2011. Last night, 16
Bangkok, 1 November 2017 ? The SEC is seeking public comments on the draft rules governing initial public offerings (IPOs) to cornerstone investors to create greater opportunity for success of IPOs
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