establishment and the application fee for amendment to a mutual fund scheme to be designated as SRI Fund is exempt at an amount not exceeding 5,000 baht per fund scheme. Both exemptions are valid for 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
PHILLIP Securities (Thailand) Public Company Limited Between June 7, 2021 and November 21, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, assigned
operation, reputation, position and results of operation of the intermediaries. “manager” means a person who is designated by the board of directors of intermediaries to be the highest responsible supervisor
operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible
Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital
system. Different working teams are assigned to work remotely to mitigate operational risk and ensure that the operations and the services to the public will continue without interruption,” said Ms
executive of SUPER, had an access to the material information by virtue of being assigned by SUPER to contact and coordinate with SCCC. This case is in the process of inquiry by the special case inquiry