Real DC Co., Ltd. Real DC Co., Ltd. and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market Supervisory Board by
-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
Mr. Suthisak Vageepiyanantanon Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
Mr. Apivut Thongkam Mr. Apivut Thongkam, chief executive officer for the operation of AQ Estate Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and submit the reviewed
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the