DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 26/10/2020 - 03/11/2020
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) โดยนางสาวนภนวลพรรณ ภวสันต์ ผู้อำนวยการฝ่ายส่งเสริมเทคโนโลยีทางการเงิน ร่วมเสวนาหัวข้อ “What Roles does Regulator Play in Supporting Fintech
บริษัท หลักทรัพย์จัดการกองทุนดาโอ จำกัด|กองทุนรวมฟีดเดอร์ | วันที่เสนอขาย : 26/10/2563 - 03/11/2563
deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with
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...
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
According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
with the Stock Exchange of Thailand (SET) to expedite the IPO approval process. In addition, the SEC today sent circular letters to all financial advisers requiring them to rigorously perform their due