TISCO ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 21/07/2014 - 29/07/2014
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
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
over the previous year, with some findings in the substantive procedures of complex transactions or transactions that required intensive judgment. The firms can remedy deficiencies by increasing the
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes ; (3) investment units of a mutual fund whose returns calculation is made in a complicated way (complex