the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered

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

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

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

’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such misconduct was therefore deemed as the failure to perform his duties as a listed-company director and executive

prepare and submit the accurate financial statement for the year 2019 through the transmission system as prescribed by the Stock Exchange of Thailand resulted from the instruction or the failure to give

annual registration statement for the year 2019 (Form 56-1) through the transmission system within the period specified in the notification resulted from the instruction or the failure to give instruction

prepare and submit the key financial ratio report for the year 2020 through the transmission system of the SEC Office within the period specified in the notification resulted from the instruction or the

NMG?s failure to prepare and submit the financial statements for the year 2018 through the transmission system within the period specified in the notification resulted from the instruction or the