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

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engagement • Improving risk management • Improving financial performance • Building customer loyalty • Attracting and engaging employees Source: The Comprehensive Business Case for Sustainability, Harvard

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, applicable to all directors, executives, employees and staff of the company. 1.2.4  The board should ensure effective implementation including regular communication of the company’s policies and guidelines to

. 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