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

. As ordered by the SEC, Mr. Phantongtae and Ms. Pintongta Shinawatra submitted evidence certified by a notary public that Mr. Phantongtae had taken over Ample Rich Investments Ltd. from Prime Minister

นางสาวพินทองทา ชินวัตร จัดส่งเอกสารหลักฐานต่าง ๆ เพื่อยืนยันการโอนหุ้นในบริษัท Ample Rich Investment Ltd. จาก พ.ต.ท. ดร. ทักษิณ ชินวัตร ให้แก่นายพานทองแท้ฯ และภายหลังมี นางสาวพิณทองทาฯ เข้าร่วมถือ

. 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

ๆ เช่น - บัตรกำนัลดิจิทัล (digital voucher) คูปอง คะแนนสะสม (loyalty point) ทีอ่ยู่ในรูปแบบ โทเคนดิจิทัลบนระบบ digital ledger technology (DLT) หรือหน่วยอิเล็กทรอนิกส์ใด ๆ - บัตรคอนเสิร์ต บัตรชม

(6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and