TMB Asset Management Company Limited Between March 28, 2017 and December 9, 2021 TMB Asset Management Company Limited, a fund management company, failed to comply with the rules, conditions and
Mr. Somjin Sornpaisarn Mr. Somjin Sornpaisarn, a former Managing Director, Chief Investment Officer and Chief Investment Committee who is responsible for the operation of TMB Asset Management Company
TMB Asset Management Company Limited Between November 1, 2019 and November 30, 2021 TMB Asset Management Company Limited, a fund management company, failed to comply with the rules, conditions and
TMB Leasing Company Limited TMB Leasing Company Limited operated derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003
Miss Tanika Tangpoonphonvivat During the period of 21 March 2014 to 3 June 2014, Miss Tanika Tangpoonphonvivat and Mr. Sittichai Leeswadtrakul used and/or took control of 29 trading accounts of other
Mr. Sittichai Leeswadtrakul During the period of 21 March 2014 to 3 June 2014, Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat used and/or took control of 29 trading accounts of other
Mr. Somjin Sornpaisarn Mr. Somjin Sornpaisarn, a former Managing Director, Chief Investment Officer and Chief Investment Committee who is responsible for the operation of TMB Asset Management Company
Thaicredit Retail Bank Public Company Limited On 1 March, 2017 Thaicredit Retail Bank Public Company Limited (“TCR”) offer for sale newly issued securities in the category of warrant (Employee Stock
sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board that is no system to control short position transaction underlying with SET50 index