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

. 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

financial statement preparers, comprising chief financial officer, chief accountant and accounting staff where qualifications and responsibilities of the preparers will be determined. Besides, expectation of

, ill-informed decisions with the expectation for high returns and even topped up benefits from signing up other persons into the network scheme. Investors are advised to avoid such investment scheme as

Thailand Re: Disclosure of Information and Other Acts or Listed Companies concerning the Acquisition and Disposal of Assets 8. Expectation: to receive engineering capability and know-how from experienced

, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse