ONE ASSET MANAGEMENT LIMITED|Cross Investing Fund | Offering Date : 10/03/1997 - 17/03/1997
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
. Several withdrawal transactions were made from the collateral account of the client to make deposits in the client's account via automatic transfer system (ATS), totaling 6.18 million baht. It was also
will notify the results within 90 days after receiving the application and a complete set of the required documents. (2) Applying for automatic approval The mutual fund management company shall submit
. 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