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
SIRATARN Company Limited SIRATARN Company Limited (“SIRATARN”) failed to comply with rules specified by Securities and Exchange Commission on October 21, 2021, SIRATARN acquired shares of Boutique
Mrs. Sirina Pavarolarvidya Mrs. Sirina Pavarolarvidya failed to comply with rules specified by Securities and Exchange Commission on March 26, 2018, Mrs. Sirina Pavarolarvidya acquired shares of
procedures as prescribed in Clause 11 have to be complied, and in case such acquisition is a transaction between the REIT and the REIT manager or related persons of the REIT manager, it must comply with the
additional capital at a rate commensurate with the size and degree of business operations. Both asset management companies and trust managers must comply with relevant regulations governing their respective
failed to comply with the rules http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 38/2024 Dated 13/05/2024 UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and