Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited a company licensed Securities Brokerage : Investment Units, failed to comply with the rules
Wealth Creation International Advisory Securities Company Limited Wealth Creation International Advisory Securities Company Limited ("WCI"), an investment advisory company, prepared and
KWI Life Insurance Public Company Limited KWI Life Insurance Public Company Limited (“KWI”) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions
another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2
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
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
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
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