of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited, a company licensed Securities Brokerage Dealing and Underwriting: Investment Units, failed to
Citibank N.A. Citibank N.A., a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification of the Capital
KTB Securities (Thailand) Public Company Limited Between December 16, 2016 and January 31, 2019 KTB Securities (Thailand) Public Company Limited as a securities broker engaged in act which may cause
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
misleading about financial condition, business operation, the price of securities statement related to 12 listed companies that are AEC Securities Public Company Limited ("AEC"), B.Grim Power Public
Meta Corporation Public Company Limited On 11 October, 2017 Meta Corporation Public Company Limited (or Vintage Engineering Public Company Limited) offer for sale newly issued securities in the
Meta Corporation Public Company Limited On 7 March, 2018 Meta Corporation Public Company Limited (or Vintage Engineering Public Company Limited) offer for sale newly issued securities in the
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
FWD Life Insurance Public Company Limited FWD Life Insurance Public Company Limited, an intermediary provides services for selling and buying investment units through omnibus account, has to govern