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

costs on the existing platforms, for example, crowdfunding.?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of

. ?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of companies and executives, and (3) market force. In so doing, the

. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote

. 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

authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation

encourage active co-operation between companies and employees.  Securities regulators, stock exchanges, self-regulatory organisations and investor groups should continue to educate companies and the public