KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 03/10/2017 - 10/10/2017

KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 18/07/2017 - 25/07/2017

KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED| | Offering Date : 03/08/2020 - 21/08/2020

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 03/08/2020 - 07/08/2020

Bangkok, September 8, 2014 ? The SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project organized an event on ?Preparing for Happy Retirement

misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit

and admitted having used a client?s inactive trading account with outstanding credit balance to trade securities. In doing so, she told the client that she had sent incorrect trading orders

/>ไม่มีความเคลื่อนไหว (inactive account) การมีนโยบายในการให้วงเงินซื้อขายหลักทรัพย์และการกู้ยืมเงินเพื่อซื้อหลักทรัพย์ที่สะท้อนถึงพฤติกรรมการซื้อขายหลักทรัพย์ของลูกค้า เป็นต้นนอกจากนี้

investment decision making. Regarding the custody of client assets, the SEC suggested that securities companies adopt tighter measures, especially for the custody of client assets in the long-time inactive

under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is