, 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
mutual funds and private funds which did not analyze and estimate the value of the IPO securities adequately and appropriately. SEC Act S.117 and 133 paragraph 2 Settlement Committee Meeting No. 3/2021
Mr. Chakkit Thanavirun On July 23, 2013, Mr. Chakkit Thanavirun, an executive vice president (administration and finance) responsible for the operation of Bliss-Tel Public Company Limited (BLISS
Mr. Chakkit Thanavirun On November 12, 2013, Mr. Chakkit Thanavirun, a managing director, an executive chairman and a vice president responsible for the operation of Bliss-Tel Public Company Limited
Mr. Chakkit Thanavirun On February 28, 2014, Mr. Chakkit Thanavirun, a managing director, an executive chairman and a vice president responsible for the operation of Bliss-Tel Public Company Limited
Miss Penkae Katekaew Miss Penkae Katekaew, then holding position as Bliss-Tel Public Company Limited (“BLISS”) investment board members having power to make securities investment decision and
Miss Tan Lethi Miss Tan Lethi, then holding position as Bliss-Tel Public Company Limited (“BLISS”) investment board members having power to make securities investment decision and approval on behalf
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