Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing services dishonestly. Both persons were working at Bangkok Bank Public Company Limited (BBL) at the time of their misconduct.In the case of {A}, BBL's inspection report and the SEC's further investigation have revealed that he confirmed with a customer that the RMF units the customer had bought in 2...
Facebook Page ชื่อ Stock Exchange Fund : Unlicensed securities and derivatives business (Disclosure Date : 16/02/2024)
Facebook Page ชื่อ Thai Stock Fund : Unlicensed securities and derivatives business (Disclosure Date : 07/05/2024)
Facebook Page ชื่อ Stock Exchange Fund : Unlicensed securities and derivatives business (Disclosure Date : 16/02/2024)
Facebook Page ชื่อ Thai Stock Fund : Unlicensed securities and derivatives business (Disclosure Date : 07/05/2024)
Facebook Page ชื่อ Stock and fund professional : Unlicensed securities and derivatives business (Disclosure Date : 03/07/2024)
Facebook Page ชื่อ Stock and Fund : Unlicensed securities and derivatives business (Disclosure Date : 30/07/2024)
Facebook page ชื่อ Fund and Stock : Unlicensed securities and derivatives business (Disclosure Date : 07/08/2024)
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 05/11/2004 - 15/11/2004
TALIS ASSET MANAGEMENT COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 16/11/2017 - 23/11/2017