Surya Kiran Investments Pte. Ltd. Surya Kiran Investments Pte. Ltd. (“SKI”) failed to comply with the regulations as specified by the Capital Market Supervisory Board by reporting the preliminary
Successmore Being Public Company Limited Successmore Being Public Company Limited (“SCM”), failed to comply with the rules, conditions and procedures as specified in the notification of the Capital
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective Investment consultant ("IC
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
Securities Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in complex fund sale system accordance with the
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for arranging and keeping
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by acting or omitting to do any act which is specified in the notification of the SEC
investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
's profit. 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 333,333.33 Baht