Finnomena Mutual Fund Brokerage Securities Company Limited Between March 23, 2021 and March 15, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities

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

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

warning, but such warning was not appropriate to the media type i.e. video clip and the location where it was run. DAB Act S.30 Settlement Committee Meeting No. 12/2022 Settlement Committee Order No. 21

front run his client’s futures trading orders. Such trading orders made through Ms.Nanthanat Srisawangwong at another broker for his personal gain. This action caused financial damages to his clients

Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to

applicable to mutual fund management company, but AIA Company Limited failed to comply with the provisions being applicable to mutual fund management company in case of redemption payment process when the

FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD. FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD. ("FINANCIAL LINK ") had duties to prepare and submit (1) the financial

FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD. FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD. ("FINANCIAL LINK ") had duties to prepare and submit On-Going Capital

, and procedures as specified in the Notification of the SEC Office by managing 15 mutual funds to invest in other mutual funds under SCBAM’s management more than one level. SEC Act S.125(1) and 126/1