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
the auditor is unable to obtain sufficient appropriate audit evidence, auditor should report audit committee to proceed with the matter. In case audit committee is aware of the matter but does not take
, however, the public relations department may be responsible for the job. In such case, must the job be transferred back to the company secretary? And how should the company proceed? A: By law, the company
loyalty; (2) performing duties with responsibility and deliberation as a professional and treating each investor with fairness, carefulness and circumspection by taking into account the interest of
. 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