operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management
Globalview Consulting Co.,Ltd. Globalview Consulting Co.,Ltd. colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management by
advisory and private fund management by advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
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Phillip asset management Company Limited June 1, 2023. Phillip asset management Company Limited a fund management company, failed to manage PHILLIP CASH MANAGEMENT OPEN END FUND ("PCASH"
position as executive in charge of finance and management of STEC, knew or possessed the company’s inside information related to the provision for loss of construction projects, which could lead to
the Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange
Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange Act B.E