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
shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology
), which is presented as a separate annex. What is corporate governance? Corporate governance refers to the structures and processes for the direction and control of companies. Corporate governance concerns
reporting process toward a higher quality. In the preceding years, the SEC mobilized various initiatives to support the preparers in building self- discipline and the understanding of appropriate and
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
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
SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the