misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 24/11/2003 - 12/12/2003
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund | Offering Date : 08/10/2012 - 12/10/2012
PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 14/11/2005 - 28/11/2005
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 21/11/2005 - 09/12/2005
KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 17/10/2007 - 31/10/2007
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 29/11/2006 - 19/12/2006
THAI ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund