control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code

sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020

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

(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of operation, control and risk management of derivatives broker which violated section 113 of

Renaissance Fund Management LTD. SEC Act S.106 Criminal Complaint Filed with an Inquiry Official Dated 21/06/2024

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

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

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

SCB Asset Management Company Limited Between July 25, 2019 and April 15, 2021 SCB Asset Management Company Limited, (“SCBAM”), a fund management company failed to comply with the rules, conditions

SCB Asset Management Company Limited Between January 28, 2020 and March 3, 2021 SCB Asset Management Company Limited (“SCBAM”), a fund management company, failed to comply with the rules, conditions