information about the funds’ investment plans to trade securities for her personal or other persons’ gains (front running). The Criminal Court dismissed the lawsuit. SEC Act S.315 in conjunction with 311
using information about the funds’ investment plans to trade securities for his personal or other persons’ gains (front running). The criminal case is closed because the alleged offender died. SEC Act
information for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among
for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among Zipmex
KWI Life Insurance Public Company Limited KWI Life Insurance Public Company Limited (“KWI”) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions
Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited a company licensed Securities Brokerage : Investment Units, failed to comply with the rules
Wealth Creation International Advisory Securities Company Limited Wealth Creation International Advisory Securities Company Limited ("WCI"), an investment advisory company, prepared and
another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2
UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is failed to comply with the rules