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B.E. 2535 (1992). By committing the aforesaid act with a wrongdoing intent, Wichai benefited from the results of the election. Such misconduct is therefore liable to dishonest performance of duty

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6772

The SEC rejects deadline extension for EARTH special audit report and shall inspect executives? duty performance

the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty

https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=6851

SEC penalizes an investment consultant for 5 years due to duty performance without loyalty, causing damage to clients

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8075

SEC Thailand’s Public Hearing on Proposed Amendment and Draft Regulation on Qualification of Settlor of Trust and Trustee and Conduct and Duty of Trustee

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=727

ก.ล.ต. ออกประกาศรองรับเงื่อนไขใหม่ของกองทุน Thai ESG โดยขยายขอบเขตการลงทุน และส่งเสริมบทบาท บลจ. ในการใช้ fiduciary duty เพื่อการลงทุนอย่างรับผิดชอบ

คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จึงปรับปรุงหลักเกณฑ์ที่เกี่ยวข้อง เพื่อรองรับกับมาตรการดังกล่าว โดยขยายขอบเขตการลงทุนของกองทุน Thai ESG เน้นบทบาท บลจ. ในการใช้ fiduciary duty เพื่อ

https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=10973

SEC sanctions two investor contacts

Bangkok, December 29, 2008 ? The SEC has revoked its approval for the investor contact status of Sarinrat Pongakramorn, a former bank officer, and imposed a one-year suspension on Surachada

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=2733

Investor contacts on suspension, probation

and a dishonest misuse of his professional position. All investor contacts are duty bound to provide services with utmost care and prudence for the investors? best interest and shall strictly comply

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=2078

SEC sanctions three investor contacts

were deemed a breach of duty under Clause 11 (1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=2790

SEC administrative sanctions on four investor contacts

Bangkok, February 23, 2010 ? The SEC revoked investor contact approval of Chirawan Vatanavijarn for five years, effective from February 23, 2010, suspended Watanya Wongopasi from duty for one month

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=3144

SEC suspends and reprimands investor contacts

Bangkok, January 25, 2011 - The SEC has suspended four investor contacts for using clients? accounts to trade securities for other persons, interfering with clients assets, and failing to use

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4390