in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act
Engineering and Construction Public Company Limited (STEC) changed his holding of STEC securities but failed to prepare and disclose report on change in his holding to the SEC Office within the period
Limited ("TRUBB") changed her holding of TRUBB securities for 3 times but failed to prepare and disclose all reports on changes in her holding to the SEC Office within the period specified in the
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
AEC Securities Public Company Limited. Between May 16, 2019 and September 21, 2020, AEC Securities Public Company Limited., as a securities broker, failed to put in place a sufficient and effective
her holding of AMC securities for 10 times but failed to prepare and disclose all reports on changes in her holding to the SEC Office within the period specified in the notification of the Capital
, 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 fund management
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to appoint new personnel having qualifications as specified in Notification of the Capital Market
Krungthai Asset Management Public Company Limited Krungthai Asset Management Public Company Limited as a fund management company failed to manage Krung Thai CLMVT Equity Fund (KT-CLMVT) strictly in
disclose all reports (Form 59-2) on changes in securities holding of his spouse to the SEC Office within the period specified in the notification. He later filed the report (Form 59-2) to the SEC Office