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
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
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