failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
Management Name : Miss PANITA KUANSATAPORN | Type of securities : Common share | Methods of Acquisition / Disposition : Transfer | Transaction Date : 22/01/2016
Management Name : Mr PANOM KUANSATAPORN | Type of securities : Common share | Methods of Acquisition / Disposition : Transfer | Transaction Date : 21/01/2016
Management Name : Mr WITOON SURIYAWANAKUL | Type of securities : Common share | Methods of Acquisition / Disposition : Transfer | Transaction Date : 22/01/2016
Management Name : Mrs WARUNEE SURIYAWANAKUL | Type of securities : Common share | Methods of Acquisition / Disposition : Transfer | Transaction Date : 21/01/2016