Microsoft Word - public hearing-complex&ACMF08082018 เอกสารรับฟงความคิดเห็น เลขที่ อจต. 33 /2561 เร่ือง รางประกาศการแกไขหลักเกณฑเก่ียวกับการออกและเสนอขายตราสารหน้ี และการเปดเผยขอมูล ครั้งที่ 2

Securities Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in complex fund sale system accordance with the

KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 18/12/2013 - 19/12/2013

TMB ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 14/10/2013 - 22/10/2013

KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Specific Fund | Offering Date : 15/03/2012 - 21/03/2012

TISCO ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 10/04/2012 - 04/05/2012

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED| | Offering Date : 22/09/2006 - 02/10/2006

PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 07/10/2013 - 09/10/2013

TISCO ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 01/09/2014 - 09/09/2014