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
perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the
Bangkok, 8 April 2025 – At its meeting convened today, the Cabinet passed a resolution approving amendments to the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) (Digital Asset Business Law) and the Emergency Decree on Measures for the Prevention and Suppression of Cybercrime B.E. 2566 (2023) (“Cybercrime Law”). These amendments aim to strengthen measures against cybercrime and mule accounts, enhancing the security of public financial transactions and improving the effectiveness o...
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
the King's 72nd Birthday Anniversary on 28 July 2024. This initiative aimed to express loyalty and gratitude for the benevolence of His Majesty the King, who has graciously initiated the Royal Volunteer
. 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
practices and the supervision of artificial intelligence (AI) for financial service provider, as well as the management of emerging risks associated with new technologies, such as online scam and harm, and