including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal
sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with
Mr. Fredrick Ian Mcintyre Mr. Fredrick Ian Mcintyre, the former director of Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited (Broadgate) responsible for the operation of
Mr. Fredrick Ian Mcintyre Mr. Fredrick Ian Mcintyre, the former director of Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited (Broadgate) responsible for the operation of
accounts: Miss Uraiwan’s 6 securities accounts of Country Group Securities Public Company Limited, KGI Securities (Thailand) PCL., KTBST Securities Public Company Limited (“KTBST Securities”), Finansia Syrus
Krungthai Zmico Securities Company Limited which Ms. Uraiwan gave Mr. Telaphon an authority to trade securities in those securitites accounts on behalf of Ms. Uraiwan and Mr. Telapon’s 2 securities accounts
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
baht solar power plant project of The Bangchak Petroleum Public Company Limited that he obtained by attending the negotiation, before such information became public. SEC Act S.241 Settlement Committee
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
a provider who operates digital asset exchange platform on www.binance.com Since the middle of 2020 onwards, a provider who operates digital asset exchange platform on www.binance.com ("Binance