KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Retirement Mutual Fund : RMF | Offering Date : 02/10/2023 - 09/10/2023
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 01/07/2005 - 20/07/2005
SCB ASSET MANAGEMENT COMPANY LIMITED|Long Term Equity Fund : LTF,Super Savings Fund : SSF | Offering Date : 18/06/2007 - 25/06/2007
EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 11/07/2019 - 19/07/2019
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
Bangkok, 9 August 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing custody of clients? assets by intermediaries to ensure investors? best interest.The guiding principle proposes revision to the types of permissible investment products and the qualifications of commercial banks eligible to provide investment and deposit services in relation to asset custody of securities clients.Essentially, securities companies and derivative business operators would be a...
account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of