SEC Secretary-General Ruenvadee Suwanmongkol, Deputy Secretary-General Tipsuda Thavaramara and Deputy Secretary-General Sirivipa Supantanet convened an executive meeting with the SEC Management to declare the corporate intent to serve the public and capital market stakeholders with integrity, transparency and corporate governance, on 8 May 2019. The SEC Declaration of Intent is in compliance with the Ethical Standard Act B.E. 2562 (2019), which has come into force since 17 April 2019. Det...
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
1 -Translation- No. ECF2 046/2562 24 December 2019 Subject: Report of Resolution of Board of Directors' Meeting Re: (1) Disposal of Rights under Loan Agreement, Pledge Agreement and Memorandum of
, transfer of securities ownership , pledge and seize, as well as the closing of the book in order to have information on securities holders, deal with rights and benefits arising from securities such as https
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action