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Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance
TISCO ASSET MANAGEMENT COMPANY LIMITED| | Offering Date : 06/01/2023 - 16/01/2023
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Cross Investing Fund | Offering Date : 04/10/2017 - 11/10/2017
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 11/12/2014 - 22/12/2014
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was