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
for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
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
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
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
(6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and