เว็บไซต์ Classic Ausiris : Unlicensed securities and derivatives business (Disclosure Date : 19/10/2023)
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เว็บไซต์ อ้างชื่อ ETRC classic : Unlicensed digital asset business (Disclosure Date : 03/07/2024)
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED| | Offering Date : 25/03/2022 - 05/04/2022
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED| | Offering Date : 18/11/2020 - 30/11/2020
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED| | Offering Date : 21/03/2022 - 01/04/2022
SCB ASSET MANAGEMENT COMPANY LIMITED| ,Super Savings Fund : SSF | Offering Date : 15/07/2019 - 22/07/2019
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...