responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Feeder Fund | Offering Date : 25/03/2022 - 01/04/2022
SCB ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Retirement Mutual Fund : RMF | Offering Date : 03/09/2019 - 09/09/2019
KASIKORN ASSET MANAGEMENT COMPANY LIMITED| | Offering Date : 27/11/2018 - 12/12/2018
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 15/11/2016 - 21/11/2016
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund, | Offering Date : 18/08/2020 - 25/08/2020
SCB ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Super Savings Fund : SSF | Offering Date : 21/04/2016 - 27/04/2016
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
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...