their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the
providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose
Facebook Page ชื่อ Stocks in Fund : Unlicensed securities and derivatives business (Disclosure Date : 30/01/2024)
Facebook Page ชื่อ Stocks Fund Trading : Unlicensed securities and derivatives business (Disclosure Date : 06/02/2024)
Facebook Page ชื่อ Fund and Stocks : Unlicensed securities and derivatives business (Disclosure Date : 16/07/2024)
ASSET PLUS FUND MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 01/01/2008 - 21/08/2008
Facebook Page ชื่อ Stock Exchange Fund : Unlicensed securities and derivatives business (Disclosure Date : 16/02/2024)