securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Exchange Traded Fund : ETF,Sector Fund | Offering Date : 27/05/2013 - 03/06/2013
TISCO ASSET MANAGEMENT COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 07/05/2019 - 15/05/2019
TISCO ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 11/09/2023 - 19/09/2023
past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc
42. (4) the unlisted company or the company’s share being non-trading over-the- counter securities center which falls within any of the following characteristics: (a) being under an absolute
) being a loan for trading or exchanging of securities with a securities company or a foreign financial institution which is permitted to provide services of such transactions under the law of the country
of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Investors and Private Funds (No. 2) dated 20 February 2017 (effective as from 1 March 2017). 4 (1) being a loan
of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Investors and Private Funds (No. 2) dated 20 February 2017 (effective as from 1 March 2017). 4 (1) being a loan
shareholders and general investors. (3) being subject to the Notice Pending sign (NP) of the Exchange, or being temporary banned from trading its listed securities under the Trading Suspension sign (SP); (4