UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Money Market Fund,Super Savings Fund : SSF | Offering Date : 02/05/2006 - 08/05/2006

without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own

fund (RMF) to a client; she recommended that the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought

the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought RMF units from other financial institutions or

Mrs.Chanyarat Sangtong Between 20 August, 2015 to 11 December, 2015, Mrs.Chanyarat Sangtong who involved in the UOB Freehold Eight Thonglor property fund (“UOB8TF”) bought UOB8TF Units by using

on 13 March 2020, SEC has already approved 17 such SSFs established by 13 asset management companies. “SEC has expedited the approval process to make sure that IPO of this special SSF can begin on 1

Mr. Eakarat Apiwattanaporn Between 19 February, 2016 to 4 March, 2016, Mr. Eakarat Apiwattanaporn who is the foreign fund manager of UOB Asset Management (Thailand) Co., Ltd. (“UOB”) bought UOB

own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she

make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light

units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units