MFC Asset Management Public Company Limited Between January 8, 2018 and July 24, 2020, MFC Asset Management Public Company Limited, a fund management company, failed to comply with the rules

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

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

effective system for protecting the client?s asset that are (1) failing to segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in

Renaissance Fund Management LTD. SEC Act S.106 Criminal Complaint Filed with an Inquiry Official Dated 21/06/2024

Krungthai Asset Management Public Company Limited Krungthai Asset Management Public Company Limited as a fund management company failed to manage Krung Thai CLMVT Equity Fund (KT-CLMVT) strictly in

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

Siam Knight Fund Management Securities Co.,Ltd. Between December 12, 2016 and July 1, 2019, Siam Knight Fund Management Securities Co.,Ltd. (?SKFM?), a fund management and investment advisor company

SCB Asset Management Company Limited Between July 25, 2019 and April 15, 2021 SCB Asset Management Company Limited, (“SCBAM”), a fund management company failed to comply with the rules, conditions

SCB Asset Management Company Limited Between January 28, 2020 and March 3, 2021 SCB Asset Management Company Limited (“SCBAM”), a fund management company, failed to comply with the rules, conditions