management and management of liquidity risks. SEC Act S.98(3)  Settlement Committee Meeting No. 1/2023 Settlement Committee Order No. 9/2023 Dated 13/01/2023

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

Renaissance Fund Management LTD Renaissance Fund Management LTD failed to prepare the balance sheet and the profit and loss account for the first six months of the financial year 2019 by posted in a

Krungthai Asset Management Public Company Limited Krungthai Asset Management Public Company Limited as a fund management company failed to manage Krung Thai CLMVT Equity Fund (KT-CLMVT) strictly in

. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures

TMB Asset Management Company Limited Between November 1, 2019 and November 30, 2021 TMB Asset Management Company Limited, a fund management company, failed to comply with the rules, conditions and

Phillip asset management Company Limited June 1, 2023. Phillip asset management Company Limited a fund management company, failed to manage PHILLIP CASH MANAGEMENT OPEN END FUND ("PCASH"

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

Siam Grander Management Co.,Ltd Siam Grander Management Co., Ltd., jointly with other alleged persons operated derivatives broker businesses in Thailand without proper licenses granted, violating

SCB Asset Management Company Limited Between July 25, 2019 and April 15, 2021 SCB Asset Management Company Limited, (“SCBAM”), a fund management company failed to comply with the rules, conditions