KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Brown Field Infrastructure Fund | Offering Date : 22/06/2015 - 26/06/2015

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

accounting, audit, and non- financial disclosure. All Asian economies should continue to strengthen these institutions to: establish high standards for disclosure and transparency; have the capacity, authority

Thianthong, Vice President, Marketing, Commercial and Supply at the time of the offense, on account of failing to perform duties with responsibility, due care and loyalty as director or executive of

Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a

• the duty of care, • duty of loyalty, • duty of good faith, • duty of confidentiality, • duty of prudence, • and duty of disclosure. • If a person violates their fiduciary duty, they are personally

company who fails to perform his duties with responsibility, due care and loyalty.) Section 305  (Person who damages, destroys, conceals, any property or document which the competent officer has seized