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...
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Cross Investing Fund | Offering Date : 11/02/2010 - 23/02/2010
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...
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 19/11/2019 - 25/11/2019
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 12/11/2018 - 21/11/2018
SCB ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 16/03/2021 - 22/03/2021
EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 23/03/2017 - 29/03/2017
EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 03/08/2022 - 09/08/2022
ONE ASSET MANAGEMENT LIMITED|Specific Fund | Offering Date : 15/03/2013 - 27/03/2013
ASSET PLUS FUND MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 09/06/2009 - 16/06/2009