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

Licensed Firm must conduct proper due diligence of the Professional to ensure that he/she has satisfied the entry requirements as prescribed by the Host Regulator. 3.3.3 Validity of ACMF Pass (1) The

. 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

investment in PVD with additional choice for their retirement savings. In addition, equivalent tax benefits for PVD will apply to the transferred amount, if the specified conditions have been satisfied. The

recognized by the SEC and have been listed on the main boards of such exchanges at least for one year, they will be deemed to have been satisfied the criteria comparable to those of the SEC. The revision aims

in accordance with the ethical standards as specified in Section 5 of the Ethical Standards Act, as follows:(1)  Loyalty to the core national institutions, i.e., Nation, Religion and Monarchy, as