account between April 1, 2016 - May 4, 2016 and involves in transaction to buy PTL shares in order to assist Polyplex Corporation Limited (“PCL”), Mr. Pranay Gothati, Executive Director and representative
/marketing) เนื่องจากเจ้าหน้าที่ที่ตัดสินใจซื้อขายเพื่อบริษัท (trader)มุ่งหวังการทำกำไรเพื่อบริษัทเป็นสำคัญ แต่เจ้าหน้าที่ติดต่อลูกค้า (sales staff) มีหน้าที่ชักชวนหรือให้คำแนะนำการลงทุนแก่ลูกค้า
outside the Thai capital market. ______________________Remarks:* Sustainable and Responsible Investing fund (SRI Fund) aims to enhance disclosure on the ESG-related features of mutual funds to assist
information regarding the executives’ compensation , financial statements, related-party transactions and use of proceeds, and will assist the evaluation of capabilities of securities issuers to be
key sections : (1) Investment planning: Proving information on tools to assist investors to understand themselves better and plan their investments more effectively, such as tools for
., is suspended for three months for failing to take care of a client's account, and instead assigning her subordinate who was an authorized trader to contact, solicit and give advice on securities
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
. Operators of derivatives business wishing to apply for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business
.” Furthermore, the Additional Guidance will assist the SEC in overseeing Hong Kong's ESG Funds under the HK-TH MRF with the same standards as the Sustainable and Responsible Investing Funds (SRI Fund) and other