ONE ASSET MANAGEMENT LIMITED|Cross Investing Fund | Offering Date : 08/07/2019 - 18/07/2019

(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee

Phillip asset management Company Limited June 1, 2023. Phillip asset management Company Limited a fund management company, failed to manage PHILLIP CASH MANAGEMENT OPEN END FUND ("PCASH"

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

Mr. Jeremy Lechemere King Between December 12, 2016 and July 1, 2019, Mr. Jeremy Lechemere King, chief executive officer of Siam Knight Fund Management Securities Co.,Ltd. (?SKFM?), failed to order

Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective system for managing mutual fund, market risk and liquidity

, failed to order or act his duty resulting in SKFM violation of section 133 paragraph 1 and 2 of the Securities and Exchange Act B.E. 2535. SKFM failed to comply with the rules, conditions, and procedures

Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide a structure for managing, the work system including

Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel

Daol Securities (Thailand) Public Company Limited Between November 11, 2017 and May 17, 2021 Daol Securities (Thailand) Public Company Limited, a private fund management company, failed to comply