account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper are available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to...
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred
TISCO ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Sector Fund | Offering Date : 17/11/2016 - 29/11/2016
TISCO ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Sector Fund | Offering Date : 01/02/2021 - 09/02/2021
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Feeder Fund | Offering Date : 12/01/2022 - 24/01/2022
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Foreign Investment Fund : FIF | Offering Date : 23/03/2010 - 23/02/2010
consumer protection and customer privacy, taking into account the changing customer expectations for greater convenience and speediness over omni-channel. Beyond the above strategies, we focus on proactive