MFC Asset Management Public Company Limited On July 1, 2019 and May 29, 2019, MFC Asset Management Public Company Limited, a fund management company, failed to comply with the rules, conditions, and
MFC Asset Management Public Company Limited Between January 8, 2018 and July 24, 2020, MFC Asset Management Public Company Limited, a fund management company, failed to comply with the rules
Mr. Suphan Settapanich Mr. Suphan Sethapanich, the former managing director and chairman of the Investment Committee of Solaris Asset Management Co., Ltd. (currently changed its name to Innotech
TMB Asset Management Company Limited Between March 28, 2017 and December 9, 2021 TMB Asset Management Company Limited, a fund management company, failed to comply with the rules, conditions and
Mr. Porameth Rungrongtanin Mr. Porameth Rungrongtanin as a nominee of Mr. Sathit Roongwatanapak filed reports (Form 246-2) to the SEC Office the acquisition or disposal of Asset Bright Public Company
Market Advisory Board violated section 113 of the Securities and Exchange Act B.E. 2535. Bualuang Securities used 3 accounts of asset management companies for the benefit of other customer. SEC Act S
effective system for protecting the client?s asset that are (1) failing to segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in
Mr. Somjin Sornpaisarn Mr. Somjin Sornpaisarn, a former Managing Director, Chief Investment Officer and Chief Investment Committee who is responsible for the operation of TMB Asset Management Company
Mr. Sathit Roongwatanapak Between September 26, 2013 to May 22, 2015, Mr. Sathit Roongwatanapak acquired or disposed Asset Bright Public Company Limited (ABC) shares through his nominee trading
person as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that are (1) failing to