Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act
underwriter 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 system for
and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of
notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments between October 1, 2018 and
notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments between September 20, 2019
UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and
transmission system as prescribed by the Stock Exchange of Thailand. Later, the rectified was filed on November 11, 2019. SEC Act S.56(1) Settlement Committee Meeting No. 6/2021 Settlement Committee Order No
transmission system as prescribed by the Stock Exchange of Thailand. Later, the rectified was filed on November 11, 2019. SEC Act S.56(1) Settlement Committee Meeting No. 6/2021 Settlement Committee Order No
system of the Stock Exchange of Thailand within the period specified in the notification. However, the financial statements for the year 2018 were later filed with the SET on October 11, 2019. SEC Act S