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

possibility of a substantial increase in related party transactions, the potential cross-shareholding structure and the possible overlapping of independent directors or audit committee members. Moreover, RS

business structure between RS and GIFT, (b) numerous related-party transactions, (c) the cross-shareholding structure, and (d) the overlapping independent directors or audit committee members. Additionally

, resulting in 2 years and 6 months imprisonment for 122 counts (2) for dishonesty and failure to discharge her duty as director with due care and loyalty. (3) for dishonestly converting listed company’s

. 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