Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
structure, operating system, and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.30 Settlement Committee Meeting No. 4/2023 Settlement Committee Order No. 1/2023
the companies’ draft financial statements were being recorded in the EY information system. They sold the securities and settled all of the derivatives contracts after the companies disclosed their
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
asset exchange and a digital asset broker, did not provide management structure, operating system and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.94
Mr. Bhusana Premanode Between 12 February and 3 March 2016, Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) performed his duties
province jointly with Mr. Bhusana Premanode, while being director and executive of IEC performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to
Bann Tongkum Co., Ltd. Bann Tongkum Co., Ltd. rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC
Mr. Somchai Phothi Mr. Somchai Phothi rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) and Mr
and entered into derivatives contracts whose underlyings were the securities price of such companies while the companies’ draft financial statements were being recorded in the EY information system