Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited a company licensed Securities Brokerage : Investment Units, failed to comply with the rules
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
period ended June 30, 2018 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the notification of the Capital Market
applicable to mutual fund management company, but AIA Company Limited failed to comply with the provisions being applicable to mutual fund management company in case of redemption payment process when the
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.
underwriter failed to comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for
reviewed financial statements for Q1/2017 within the period specified by the Capital Market Supervisory Board. Mr.Kitisan Mookdee failed to comply with the order of the Settlement Committee, the SEC