ONE ASSET MANAGEMENT LIMITED|Exchange Traded Fund : ETF | Offering Date : 21/08/2007 - 29/08/2007
Bangkok, October 27, 2015 - The SEC urges shareholders of Superblock Public Company Limited (SUPER) to thoroughly study the solar cell power plant investment project before casting votes at the
discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of
Provisions relating to Offer for Sale of Securities Issued by Foreign Company Whose Shares Have Been Traded or Are Purposed to be Traded on Foreign Exchange
} had submitted some trading orders and later asked the client to re-submit those orders via the phone recorder. Moreover, several transactions showed that the securities were traded intra-day at the
ONE ASSET MANAGEMENT LIMITED|Exchange Traded Fund : ETF | Offering Date : 31/01/2013 - 12/02/2013
Re: Application for Approval of Form and Terms of Derivatives Contracts Traded on Derivatives Exchange
ONE ASSET MANAGEMENT LIMITED|Exchange Traded Fund : ETF | Offering Date : 01/08/2011 - 08/08/2011
ONE ASSET MANAGEMENT LIMITED|Exchange Traded Fund : ETF | Offering Date : 20/07/2009 - 28/07/2009
be traded while the clients merely accepted the transactions. For {B} case, it was found that he failed to completely record the client's trading securities orders for a number of transactions; the