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
Gains System : Unlicensed digital asset business (Disclosure Date : 09/08/2019)
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
Initial Product Offering System (IPOS) Please wait... ระบบออกและเสนอขายหลักทรัพย์ Initial Product Offering System ( IPOS ) โปรดระบุข้อมูลด้านล่าง (Please fill in information below) ประเทศที่
External User Accounts Management System (EXAM) ระบบบริหารจัดการบัญชีผู้ใช้งานบุคคลภายนอก External User Accounts Management System (EXAM) โปรดระบุข้อมูลด้านล่าง (Please fill in information below
Online Fund Approval and Management System (OFAM) ระบบอนุมัติจัดตั้งและจัดการกองทุน Online Fund Approval and Management System (OFAM) โปรดระบุข้อมูลด้านล่าง (Please fill in information below