Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while
qualified audit personnel and inability to react to changes of professional standards and more complicated structural transactions, will also be addressed to support market readiness for current dynamic
supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
Mr. Pattarapol Wongsasuthikul Between March 27, 2017 to June 25, 2018 Mr. Pattarapol Wongsasuthikul, Assistant Managing Director of Thai Rubber Latex Corperation (Thailand) Public Company Limited
Miss Chalongkwan Wongsasuthikul Between May 8, 2017 to August 11, 2017 Miss Chalongkwan Wongsasuthikul, Assistant Managing Director of Thai Rubber Latex Corperation (Thailand) Public Company
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
Mrs. Phenchan Yongvongphaiboon Between July 14, 2017 and September 4, 2017, Mrs. Phenchan Yongvongphaiboon, director and vice managing president of Asia Metal Public Limited Company (?AMC?) changed
Mr.Kitisan Mookdee Mr.Kitisan Mookdee, a managing director responsible for the operation of K.C. Property Public Company Limited (KC), shall be liable for KC?s failure to prepare and submit the