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

following regulations: (1) performing duties or providing services with loyalty; (2) performing duties with responsibility and deliberation as a professional and treating each investor with fairness

236 Personnel in the capital market business shall perform duties in accordance with the following regulations: (1) performing duties or providing services with loyalty; (2) performing duties with

loyalty; (2) performing duties with responsibility and deliberation as a professional and treating each investor with fairness, carefulness and circumspection by taking into account the interest of

perform duties in accordance with the following regulations: (1) performing duties or providing services with loyalty; (2) performing duties with responsibility and deliberation as a professional and

such, impractical and outdated regulations will be revised to support underwriters? performance with trustworthiness and responsibility to investors, which will eventually build up their own credibility

supervision and trustworthiness of listed companies? financial reporting. Vorapol Socatiyanurak, SEC Secretary-General said that ?Following the 2010 revamp of audit oversight to require SEC-registered auditors