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

percent of the NAV at daily closing. This liquidity boosting option is valid until 30 April 2020, as part of the key measures to help asset management companies manage the assets under management more

juristic persons, listed companies may use their discretion in summoning ID documents, as deemed necessary. In any case, a valid period of such ducuments should at least be in a range of six months or one

licensing or registration or authorization with the Home Regulator is still valid, the enforcement action by Home Regulator is subject to Home Jurisdiction’s Laws and Regulations. 13 Appendix 1 : Recognised

planners who have to complete the training or renewal requirements by the end of this year can do so within 31 March 2021 instead. The approved renewal will be valid until 31 December 2022 according 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

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