Complex Type 3 Investment Consultant

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

Some business operators wish to provide services of specific securities business, for example, brokerage,  dealing and underwriting of equity instruments or private fund management, but are unable to

funding through capital market’s fundraising mechanisms and tools. To support liquidity of businesses affected by the COVID-19 pandemic who wish to raise fund using REIT buy-back, the SEC has considered

million or 31.37% compared to the same period of last year of Baht 14.63 million, we wish to clarify the changes in our operating results as follows: ‐ Sales Revenue was increased by Baht 5.30 million or

million, we wish to clarify the changes in our operating results as follows: ‐ Sales Revenue was decreased by Baht 40.04 million or 9.23% compared the same period of prior year. Export Sales Revenue was

%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset owners may wish to ensure that remuneration frameworks do not unduly constrain