According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
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
., Ltd.: SCBAM;(6) Merchant Partners Asset Management Limited: MPAM; and (7) UOB Asset Management (Thailand) Co., Ltd.: UOBAM*3. Six commercial banks, namely:(1) Bangkok Bank Public Company Limited: BBL;(2
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
Bangkok, May 29, 2014 ? The SEC invites public to visit SEC booth at Money Expo Bangkok 2014, presented under the theme ?The successful world at your backyard?. It aims to urge the public to realize
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
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
Bangkok, 7 February 2018 ? All of the 26 members of the Association of Asset Management Companies (AIMC) have declared their intention to adopt the Investment Governance Code (I Code) for
Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional