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

law and standards.   ​ Guidelines ​ ​​1.3.1   In assessing whether directors and executives have performed their fiduciary duties with the required responsibility, due care and loyalty, reference should

when they establish their private contractual relations. This corporate governance framework typically comprises elements of legislation, regulation, self-regulatory arrangements, voluntary commitments

และความรับผิดชอบของกรรมการและผู้บริหาร หน้าที่กรรมการ/ผู้บริหาร (fiduciary duty) ตามมาตรา 89/7 พ.ร.บ. หลักทรัพย์ รับผิดชอบ ระมัดระวัง (Duty of Care) ซื่อสัตย์สุจริต (Duty of Loyalty) ปฏิบัติตามกฎหมาย

and CEOs. Duties of loyalty and care are found in the law and responsibilities are spelled out in the Principles and listing rules. These include oversight of management and strategy, approval of

ธุรกิจ 11. การดูแลรักษาทรัพย์สินของลูกค้า 1. ปรับปรุงหลักเกณฑ์ในส่วนของการท า self-custody โดยให้ผู้ประกอบธุรกิจ PF ที่ต้องการท า self-custody สามารถท าได้ไม่จ ากัด asset size โดยต้องขอความเห็นชอบ เป็น

. 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