performance to prove that the fund manager’s responsibilities for overseeing and managing the fund as required, This is not in accordance with the work system that notifies the office before requesting to start
Mr. Cholnatee Sopak Mr. Cholnatee Sopak, at the time of the incident serving as Assistant Managing Director of the Bondholders’ Representative Division and the person responsible for overseeing the
deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned
-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. Jakkapong Jakrajutatip Mr. Jakrapong Jakrajutatip, while serving as a director and Chief Executive Officer of JKN Global Group Public Company Limited (“JKN”), was responsible for overseeing the
;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
'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. Nop Satayasai Mr. Nop Satayasai, former managing director of Eastern Wire Plc. (now Capital Engineering Network Plc. (CEN)), conspired with Mr. Suriya Lapvisuthisin to misappropriate Baht 500
Mr. Sanpapol Rattanarungroj Mr. Sanpapol Rattanarungroj , as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the