PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED| ,Sector Fund | Offering Date : 18/07/2018 - 26/07/2018
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 18/06/2018 - 26/06/2018
Type of securities : Common share | Effective Date : 18/09/2018 | Close Selling Date : 10/10/2018
Type of securities : Common share | Effective Date : 18/09/2018 | Close Selling Date : 21/09/2018
Capital Market Supervisory Board No. Tor Thor. 9/2561 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (No. 3) dated 17 January 2018
Thor. 9/2561 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (No. 3) dated 17 January 2018 (Effective from 16 February 2018). 3
from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she
Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test