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

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

when they establish their private contractual relations. This corporate governance framework typically comprises elements of legislation, regulation, self-regulatory arrangements, voluntary commitments

Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE

. Striking a balance between the legal and regulatory framework and self-regulatory as well as other market mechanisms on corporate governance is highly jurisdiction specific. In cases where there may be an

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Governance, which have been released at the 2015 OECD-Asian Roundtable on Corporate Governance in Bangkok today.   Co-hosted by the OECD, the SEC, the Stock Exchange of Thailand (SET) and the Thai Institute of