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SEC suspends two investment consultant and investment planner for performing duties without loyalty, causing damage to investors

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8080

SEC penalizes an investment consultant for 5 years due to duty performance without loyalty, causing damage to clients

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8075

SEC penalizes three former investment consultants for failing to properly discharge their professional duties with loyalty, responsibility, and care.

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8817

SEC warns investors to be cautious when using EARTH’s disclosed information on the fair values of two coal mines in Indonesia

clarify and disclose information in the following matters: (1) the true existence and legal rights on the coal mines, and (2) the report on the re-assessment results of the fair values of the mining

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7533

SEC revokes approval of executive of asset management company for failing to perform duties with loyalty and professional due care, including negligence of duties

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8073

Activity Report 2016_En

Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause Analysis...................42 Framework and Focuses in 2017...................44 Essential St...

https://www.sec.or.th/EN/Documents/Auditor/activitiesreport2016.pdf

The Securities and Exchange Commission

The Securities and Exchange Commission สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:18 [Digital Asset] Trading VALUES Classifid BY TYPE of Assets [Digital

https://market.sec.or.th/public/idisc/en/ViewMore/daasset

The Securities and Exchange Commission

The Securities and Exchange Commission สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:16 [Digital Asset] Trading VALUES Classifid BY TYPE of Exchanges [Digital

https://market.sec.or.th/public/idisc/en/ViewMore/daexchange

The Securities and Exchange Commission

The Securities and Exchange Commission สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:14 [Digital Asset] Trading Values Classifid by Type of Investors [Digital

https://market.sec.or.th/public/idisc/en/ViewMore/dainv

Digital Assets

[Digital Asset] Trading Values Classifid by Type of Investors ( 2 record(s) found) No. Report Name Data File As of Data Definition 1 Trading Values Classifid by Type of Investors August/2023 Click here to

https://market.sec.or.th/public/idisc/en/CapitalMarketReport/PP36