SCB ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 20/07/2009 - 27/07/2009
Bangkok, August 25, 2009 ? The SEC imposed a three-year probation on Maris Tarab, in his capacity as the managing director of ING Funds (Thailand) Co., Ltd. and fund manager of T.U. Dome Residential Complex Fund (TU-PF), for failing to perform his duties prudently and professionally for the best interest of TU-PF unitholders. The probation, which covers his status as approved property fund manager/securities company executive/mutual fund manager/private fund manager/investor contact, took effect...
found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings
disclose such information so that he will receive consideration from the person who engages in the said acts. A violation of this Section is subject to criminal liabilities involving further procedures of
private fund management by advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section
, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section
advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions
shares to the public when the registration statement and the draft prospectus haven’t been filed with the SEC Office which is in violation of Section 300 and Section 276 of the Securities and Exchange Act
with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90