UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Exchange Traded Fund : ETF,Feeder Fund | Offering Date : 04/07/2022 - 14/07/2022
TALIS ASSET MANAGEMENT COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 08/05/2024 - 14/05/2024
TALIS ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 08/05/2024 - 14/05/2024
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Feeder Fund | Offering Date : 23/05/2018 - 30/05/2018
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Feeder Fund ,Retirement Mutual Fund : RMF | Offering Date : 23/11/2021 - 30/11/2021
บริษัท หลักทรัพย์จัดการกองทุนทาลิส จำกัด|กองทุนรวมเพื่อการออม | วันที่เสนอขาย : 08/05/2567 - 14/05/2567
บริษัท หลักทรัพย์จัดการกองทุนทาลิส จำกัด|กองทุนรวมเพื่อการเลี้ยงชีพ | วันที่เสนอขาย : 08/05/2567 - 14/05/2567
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...