CL Fund Management Limited Between August 31, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia
-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
Renaissance Fund Management LTD. SEC Act S.106 Criminal Complaint Filed with an Inquiry Official Dated 21/06/2024
UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a mutual fund management company, failed to manage the Brilliant Plus Fund with the rules, conditions
BBL Asset Management Company Limited Between January 27, 2023 and October 28, 2024 BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules
BBL Asset Management Company Limited From 12 July 2023 to 30 September 2024, BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules, conditions and
Kiatnakin Phatra Asset Management Company Limited Kiatnakin Phatra Asset Management Company Limited ("KKPAM") as a mutual fund management company, completed the negotiations with the Sub
SCB Asset Management Co.,Ltd SCB Asset Management Co.,Ltd, as a securities business operator of mutual fund management Ads with data about numbers that represent an estimated return on investment
Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint