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
company who fails to perform his duties with responsibility, due care and loyalty.) Section 305 (Person who damages, destroys, conceals, any property or document which the competent officer has seized
. 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
authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation
SEC Secretary-General Rapee Sucharitkul revealed that “independence of the auditor is a key factor in establishing the reliability of the financial reports. When the international standards on this
reliability of financial reporting by selecting suitable accounting policies and implementing effective internal control systems. In other words, they are the first line of defense in financial reporting. Next