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
practical challenges, providing valuable insights for auditors to apply in their financial audits of IPO and listed companies. The event was held at the TFAC Building on 12 January 2024.
created to push forward the comparable quality of financial reporting standards adopted by every country in the region. All in all, the events contributed valuable learning experiences to the participants
, ThaiBMA is a valuable contributor of opinions and recommendations in practical matters that benefit the development of the Thai bond market,” said SEC Secretary-General. Over the years, the SEC and ThaiBMA
valuable and useful comments from various stakeholders including governmental and private sectors, civil society, academic sector and international organizations. Most of the feedbacks agree with the
mechanism and be able to raise fund in capital market, while investors can find out information about the qualifications of potential SMEs and Startups that would be valuable choices for investment. In
these activities has led to further sharing of valuable information and knowledge to the public on a wider scale, reaching a diverse range of target groups, from the youth and students to first jobbers