Advanced Info Service Public Company Limited Advanced Info Service Public Company Limited ("ADVANC") had duties to prepare and submit a report of key financial ratio for the year 2021
Mr. Somchai Lertsutiwong Mr. Somchai Lertsutiwong, a Chief Executive Officer for the operation of Advanced Info Service Public Company Limited ("ADVANC"), shall be liable for ADVANC's
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020
AIA Company Limited AIA Company Limited , an intermediary provides services for selling and buying investment units through omnibus account, has to govern the service under the provisions being
Finnomena Mutual Fund Brokerage Securities Company Limited Between January 4, 2021 and October 31, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a
the service under the provisions being applicable to mutual fund management company, but FWD Life Insurance Public Company Limited failed to comply with the provisions being applicable to mutual fund
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
Mr. Fredrick Ian Mcintyre Mr. Fredrick Ian Mcintyre, the former director of Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited (Broadgate) responsible for the operation of
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