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

Rim Khlong Phra Khanong, Phra Khanong Nuea Sub-district, Vadhana District Bangkok10110 Phone 0-2030-3730 Fax   URL www.xspringcapital.com Contact Person Contact Contact Name ฝ่ายผู้ลงทุนสัมพันธ์

. 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

rig h ts re se rv e d . D ig ita l In fra stru c tu re fo r C a p ita l M a rk e t R e v is e d B u s in e s s P ro c e s s : B o n d F ilin g & P rim a ry M a rk e t (d a ta a s o f 2 2 n d S e p te m

in accordance with the ethical standards as specified in Section 5 of the Ethical Standards Act, as follows:(1)  Loyalty to the core national institutions, i.e., Nation, Religion and Monarchy, as

important information and business secrets of the company without approval. He later resigned from the company.  SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended