transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended

case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents

make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23

and transfer securities in the clients? accounts into those of other clients who were related to herself to seek personal gains.In addition, Pornthip filled in different confirmation phone numbers on

for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and

Supervisory Board No. Tor Nor. 42/2564 Re: Additional Provisions for Establishment and Management of Mutual Funds under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the

Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF ( Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's

Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Sales Report Form for the sale of units of foreign collective investment scheme

Mrs. Pornanong Budsaratragoon, SEC Secretary-General, received an award plaque on behalf of the SEC, in recognition of the organization’s contribution to the network of support for children under

การสร้างพันธมิตรทางธุรกิจระหว่างผู้ประกอบธุรกิจฮ่องกงและไทย ในการเสนอขายกองทุนรวมระหว่างกัน ภายใต้โครงการ Hong Kong – Thailand Mutual Recognition of Funds โดยมีผู้เข้าร่วมงานซึ่งเป็นผู้แทนจากบริษัท