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
Institute of Appraisal Profession under the first paragraph shall be recognized by the SEC Office as an appropriate organization for supervising and promoting appraisal profession as prescribed in Clause 18
characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2
prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary; (2) controlling, supervising and managing business units relating to investment
person responsible for managing information security incidents; (3) report any information security events to the responsible person under (2) and the SEC Office without delay; (4) carry out testing of