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

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

Bangkok, July 20, 2006 ? The SEC has announced the resolutions of the SEC Board Meeting No.8/2549 held on July 18, 2006 as summarized below: 1. Appointments of the SET governors The SEC

Bangkok, January 14, 2008 ? The SEC has announced the resolutions of the SEC Board Meeting No.1/2008 held on January 11, 2008, as summarized below: 1. Amendments to SBL and Short Selling

Bangkok, March 25, 2014 ? SEC Secretary-General Vorapol Socatiyanurak emphasized importance of listed companies? Annual General Meeting of Shareholders (AGM), an event set up every year during March

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

Microsoft Word - Resolution of the Board of directors meeting No3_2018 Our Ref: CEO 015/2018 10 August 2018 Subject Resolution of the Board of Directors Meeting No.3/2018 Attn. To President of the

Bangkok, November 23, 2012 ? The SEC will host the Asia-Pacific Regional Committee Meeting of the International Organization of Securities Commissions or ?IOSCO APRCMeeting", a high-level discussion

Bangkok, December 1, 2009 ? The first SEC hosted meeting among the Stock Exchange of Thailand, the Association of Securities Companies (ASCO), and the representatives from marketing executives of