Management Public Company Limited: KTAM*;(2) Krungsri Asset management Co., Ltd.: KSAM*;(3) Kasikorn Asset Management Co., Ltd.: KASSET;(4) TMB Asset Management Co., Ltd.: TMBAM;(5) SCB Asset Management Co
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
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
9 MFC Thai Equity SSF MFC Asset Management 10 UOB Equity SSFX UOB Asset Management 11 SCB SET
for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing
investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
Commercial Bank PLC. (SCB), the SEC further probed into the case and found that {A} signed the form of buy/sell order for investment units without performing duties as an investment consultant. The client
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
trading account to trade securities for her own personal gains and interfering with the client?s assets by withdrawing and tranfering securities from the client?s account. According to a referral from SCB