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

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and

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

statement or any other statement related to the joint venture of RASA with the intention to mislead the public concerning the facts relating to the financial condition, the business operation or the trading

relevant period. His order or action resulted in Bitazza’s offence regarding the digital asset dealer without a license owing to joint providing the product known as "Freedom Card" with

Broadgate Mutual Fund Brokerage Securities (Thailand) Co., Ltd. Broadgate Mutual Fund Brokerage Securities (Thailand) Co., Ltd. (Broadgate) (current name: Broadgate (Thailand) Co., Ltd.) colluded

Mr. Komen Niyomvanich In 2022, Mr. Komen Niyomvanich colluded with Miss Monsicha Ounpipat in a manner that is likely to cause a disadvantage to the mutual fund. Mr. Komen, a fund manager, possessed

information material to GLOBAL share price concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited. Mr

advantage of others by using non-public information material to GLOBAL share price. Mr. Witoon used non-public information concerning the joint venture agreement between GLOBAL and SCG Distribution Company