According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged
TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa
TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had
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
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
Fund Management Co., Ltd., (6) TMB Asset Management Co., Ltd., (7) UOB Asset Management Co., Ltd., (8) MFC Asset Management Plc., (9) Kasikorn Asset Management Co., Ltd., (10) Siam Night Fund Management
, TMB Asset Management Co., Ltd. and Tisco Asset Management Co., Ltd. are ready to accommodate PVD transfers to the existing RMFs as they have already put in place account segregation systems and separate
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex