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
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
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"
Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of Mutual Fund (“Form A-2”) to the SEC
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
Renaissance Fund Management LTD. This case is in the process of investigation by the inquiry official. SEC Act S.97 Criminal Complaint Filed with an Inquiry Official Dated 01/11/2023