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
. Krisada Chinavicharana, Deputy Finance Minister. The event was organized under the theme, “Green Finance for Green Living” at Hall 7, LG Floor, Queen Sirikit National Convention Center during 14-17 December
disaster preparedness and response. The event took place on 6 December 2023, at the Queen Sirikit National Convention Center.
, Challenger 2-3, IMPACT Arena, Exhibition and Convention Center, Muang Thong Thani.?
, Challenger 2-3, IMPACT Arena, Exhibition and Convention Center, Muang Thong Thani.
. Her action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation of Section 89/7 of the SEA. This case is under