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
the sales of products. Therefore, the Corporate Group has established policy on market expansion and domestic channel development to achieve the most efficiency, as well as production cost management
-production - - 0.61 100.00 Income from concert organization 38.84 94.92 - - Income from sales 2.08 5.08 - - Total Income 40.92 100.00 0.61 100.00 Costs for the right of co-production - - - - Costs for concert
from co-production rights - - 0.51 100.00 Revenue from organizing concerts 17.13 89.27 - - Sale income 2.06 10.73 - - Total income 19.19 100.00 0.61 100.00 Cost of co-production rights - - - - Revenue