receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management

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

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system

or act his duty resulting in SKFM violation of section 117, section 133 paragraph 2 and section 136 of the Securities and Exchange Act B.E. 2535. SKFM failed to comply with the rules, conditions

insured has died by redeem investment units exceed than the time period specified in the scheme. SEC Act S.113 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 13/2020 Dated 20/05

management company in case of redemption payment process when the insured has died by redeem investment units exceed than the time period specified in the scheme. The amount of fines does not include daily

procedures as specified in the Notification of the Capital Market Supervisory Board by failing to supervise transactions that are considered conflicts of interest by investing in two of IPO securities for

, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board to supervise transactions that are considered conflicts of interest by investing in unrated and unlisted bill

The SEC Board’s approval of the principles for supervising additional digital asset businesses would not only benefit securities companies that have recently showed their growing interest in