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
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
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
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
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board. SEC Act S.35 Settlement Committee Meeting No. 1/2024 Settlement Committee Order No. 1/2024 Dated 30/01
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market
submitted such document on 30 January 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. SEC Act S.56(2
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by managing an advertisement about commission-free trading services without end period that cause investors or
technology to private fund management in analysis, selection and screening of securities trading signals, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory