First Select Asia Limited : Unlicensed securities and derivatives business (Disclosure Date : 05/11/2019)
ONE ASSET MANAGEMENT LIMITED|Country Fund | Offering Date : 01/06/1998 - 08/06/1998
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodge...
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED|Feeder Fund | Offering Date : 22/11/2023 - 04/12/2023
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 30/07/2024 - 07/08/2024
TISCO ASSET MANAGEMENT COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 24/08/2016 - 29/08/2016
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Retirement Mutual Fund : RMF | Offering Date : 27/08/2024 - 03/09/2024
THAI ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 19/11/2010 - 30/11/2010