Mr. Gary Bradford Mr. Gary Bradford colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
Mr. Richard Dunston Malpass Mr. Richard Dunston Malpass (“Mr. Malpass”), resided in Thailand, solicited foreign investors to make investment in mutual fund based on his advice for the sake of tax
Mrs.Chanyarat Sangtong Between 20 August, 2015 to 11 December, 2015, Mrs.Chanyarat Sangtong who involved in the UOB Freehold Eight Thonglor property fund (“UOB8TF”) bought UOB8TF Units by using
Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of Mutual Fund (“Form A-2”) to the SEC
Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital
Mr. Eakarat Apiwattanaporn Between 19 February, 2016 to 4 March, 2016, Mr. Eakarat Apiwattanaporn who is the foreign fund manager of UOB Asset Management (Thailand) Co., Ltd. (“UOB”) bought UOB
Mr. Jeremy Lechemere King Between December 12, 2016 and July 1, 2019, Mr. Jeremy Lechemere King, chief executive officer of Siam Knight Fund Management Securities Co.,Ltd. (?SKFM?), failed to order