UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Exchange Traded Fund : ETF,Feeder Fund | Offering Date : 04/07/2022 - 14/07/2022
TALIS ASSET MANAGEMENT COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 08/05/2024 - 14/05/2024
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Feeder Fund | Offering Date : 23/05/2018 - 30/05/2018
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Feeder Fund ,Retirement Mutual Fund : RMF | Offering Date : 23/11/2021 - 30/11/2021
ASSET PLUS FUND MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 01/11/2017 - 21/11/2017
TALIS ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 08/05/2024 - 14/05/2024
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false documents in order to lure the investors into believing that their subscription transactions had been e...
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had misappropriated the client’s money by forging the client’s signature, revising the client’s signific...
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had misappropriated the client’s money by forging the client’s signature, revising the client’s signi...
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board