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
Mr.Boonchoke Thiratarakorn . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of
Mr. Booncherd Santudpanich . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of
Mr. Suwit Jiraphongtrakul . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of
Mrs. Wanna Sittisirinukul . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of
Mr. Preyatada Buranaworakhun . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty
Mr. Surachaste Boonyasatian . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty