EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 16/11/2015 - 27/11/2015
SCB ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 18/10/2016 - 25/10/2016
EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund ,Sector Fund | Offering Date : 29/09/2016 - 07/10/2016
SCB ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 26/01/2016 - 01/02/2016
DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 20/08/2019 - 23/08/2019
DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 23/09/2019 - 27/09/2019
Facebook Page ชื่อ Stocks Are Not Difficult : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)
Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders. Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to
Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He also admitted taking such trading orders via mobile phone. In addition, some of his clients' tra...
Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a report from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she confirmed the clients' trading orders via telephone, as she understood that these could have been ev...