offence under Section 241, which is the SEC?s standard procedure. The investigation has been underway but not yet completed.2. Front running ? Despite not being subject to the criteria of an offence under
ASSET PLUS FUND MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF | Offering Date : 18/06/2010 - 24/06/2010
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Guaranteed Fund | Offering Date : 28/06/2024 - 19/07/2024
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Guaranteed Fund | Offering Date : 20/05/2024 - 30/05/2024
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
Customer Due Diligence : KYC/CDD procedure. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022
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
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113