Sithi-Amnuai along with executives and representatives from 38 securities firms, held a joint meeting to discuss and exchange views on guidelines for building trust and confidence in the Thai capital

members (consisting of executives and representatives from 38 securities firms) held discussions and shared views regarding operations that may affect trust and confidence in the Thai capital market such as

clarity and more confidence that securities firms will adhere to international standard guidelines and effectively prevent inappropriate actions. ________________________

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

investment was made. Therefore, the general public could not utilize the capital market to create financial freedom.”“The Five Steps toward Investment Confidence project was initiated from the intent of SEC in

of building confidence in the capital market. Implementing lawsuits quickly and actually against law violators will have the effect of suppressing and deterring wrongdoing in the future. Therefore, the

operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs

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