KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 25/06/2008 - 03/07/2008
KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF | Offering Date : 10/07/2009 - 16/07/2009
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
the IOSCO within 7 June 2019. The discussion between the IOSCO and the SEC took place at Hilton Hotel in Sydney, Australia during the IOSCO Annual Conference, hosted by the Australian Securities
การหารือดังกล่าวเกิดขึ้นที่โรงแรมฮิลตัน ณ เมืองซิดนีย์ ประเทศออสเตรเลีย ในช่วงการประชุมประจำปี 2562 ของ IOSCO ซึ่ง Australian Securities and Investments Commission เป็นเจ้าภาพ ในระหว่างวันที่ 13-17
Authority ประเทศนิวซีแลนด์ และ Mr. Gerard Fitzpatrick, Senior Executive Leader จาก Australian Securities and Investments Commission (ASIC) ประเทศออสเตรเลีย