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

servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

) Mr. Sakesan Baisak and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and

(2) Mr. Sakesan Baisak and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and

. Patiphat Supasirisin and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained

Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company