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
with the notification of the Capital Market Supervisory Board. However, RISLAND prepared and submitted the audited financial statements for the year 2020 on June 28, 2021 which is in breach of the
in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act
notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020
notification of the Capital Market Supervisory Board by failing to prepare and file the report of net capital calculation within the specified period. SEC Act S.109 paragraph 1 Settlement Committee Meeting No
for Q3/2018 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. This case is in the process of inquiry by
statements for Q3/2018 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. This case is in the process of inquiry by
Mr. Pira Patamavorakulchai Mr. Pira Patamavorakulchai failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office within the
PAE (Thailand) Public Company Limited PAE (Thailand) Public Company Limited, a securities issuer, had duty to prepare and submit the financial report for the first half of the fiscal year 2019
PAE (Thailand) Public Company Limited PAE (Thailand) Public Company Limited, a securities issuer, had duty to prepare and submit the financial report for the first half of the fiscal year 2020