Mr. Nawat Triyapongpattana Mr. Nawat Triyapongpattana, the Managing director responsible for the operation of Ubis (Asia) Public Company Limited (UBIS), was liable for UBIS’s failure to prepare and

Mr. Chamnarn Pornpilailuck Mr. Chamnarn Pornpilailuck, a managing director responsible for the operation of Porn Prom Metal Public Company Limited (PPM), shall be liable for PPM’s failure to prepare

, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by managing an advertisement about commission-free trading services without end period that cause investors or

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

detailed in Chapter 5; (5) business continuity management and security of information technology systems, as detailed in Chapter 6; (6) outsourcing of services, as detailed in Chapter 7; (7) handling of

managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a

) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox; (b) assessing and managing

) |- Branch Offices / Representative Offices (Section 92, 93) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information

) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public

) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration