, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117
procedures as specified in the notification. In this regard, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the
-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s
procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S
transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Board. This case is in the process of inquiry by the inquiry official. SEC Act S.56
the transmission system of the SEC Office within the period specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the inquiry official. SEC Act
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
assets derived from criminal activities, with a view to formulating preventive measures and appropriate solutions. The meeting was held at Phithak Santiphap Building, Central Investigation Bureau, on
. 2560 (2017), published in the Government Gazette on July 6, 2017, and effective September 4, 2017, streamlines the legal execution proceedings in the entire system to be more effective. It reduces steps