Manager of Digital Asset Business Operator
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
Al-Amanah Trading Fund Website: www.alamanahtradingfund.com : solicitation to invest in Ponzi scheme (Disclosure Date : 27/06/2014)
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Specific Fund | Offering Date : 04/05/2010 - 10/05/2010
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 15/05/2012 - 21/05/2012
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 11/07/2016 - 14/07/2016
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 22/11/2016 - 28/11/2016
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 24/07/2012 - 30/07/2012
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 08/10/2013 - 14/10/2013