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
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
the common stock of Modern, while in possession of inside information on Modern's operating results of the Q2/2016 before Modern publicly disclosed the Q2/2016 financial statements through the SET
total of 1.3 million share of the common stock of Modern, while in possession of inside information on Modern's operating results of the Q2/2016 before Modern publicly disclosed the Q2/2016 financial
UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and
through the transmission system of the SEC Office within the period specified in the notification of Capital Market Supervisory Board which is within February 28, 2022. However, the key financial ratio
Phi Phi Holiday Company Limited Phi Phi Holiday Company Limited, a securities issuer, failed to prepare and submit the audited financial statements for the year 2020 through the transmission system
Phi Phi Holiday Company Limited Phi Phi Holiday Company Limited, a securities issuer, failed to prepare and submit the key financial ratio report for the year 2020 through the transmission system of