TISCO ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 10/08/2016 - 18/08/2016
TISCO ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 20/05/2014 - 30/05/2014
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED| | Offering Date : 22/09/2006 - 02/10/2006
transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period.
(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but