UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED| | Offering Date : 22/11/2019 - 29/11/2019
. Suphan Sethapanich from as acting as personnel in the capital market business and performing duties as the managing director and the chairman of the Investment Committee for a period of three years and
Mr. Somjin Sornpaisarn Mr. Somjin Sornpaisarn, a former Managing Director, Chief Investment Officer and Chief Investment Committee who is responsible for the operation of TMB Asset Management Company
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
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing private fund with
, and procedures as specified in the Notification of the SEC Office by managing 15 mutual funds to invest in other mutual funds under SCBAM’s management more than one level. SEC Act S.125(1) and 126/1
, and procedures as specified in the Notification of the SEC Office by managing SCB set index fund to invest in other mutual fund under SCBAM’s management. SEC Act S.125(1) and 126/1 in conjunction
Mr. Saiphet Thongngao Mr. Saiphet Thongngao colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The
Miss Sureerat Ardpaksa Miss Sureerat Ardpaksa colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The