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
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
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 the work system including appropriate and
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 18, 2021 and July 4, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities
Broadgate Mutual Fund Brokerage Securities (Thailand) Co., Ltd. Broadgate Mutual Fund Brokerage Securities (Thailand) Co., Ltd. (Broadgate) (current name: Broadgate (Thailand) Co., Ltd.) colluded
Finnomena Mutual Fund Brokerage Securities Company Limited Between April 29, 2022 and May 22, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities
Finnomena Mutual Fund Brokerage Securities Company Limited Between March 23, 2021 and July 31, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities
Finnomena Mutual Fund Brokerage Securities Company Limited Between January 4, 2021 and October 31, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a