honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
was an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client's complaint and inspection report of Globlex Securities Company Limited, the SEC further
an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed
of client without order, and using the client's account for his own benefits. He was an employee of Maybank Kim Eng Securities (Thailand) Plc, while the misconduct occurred. Following the client's
___________________ Chapter 1 Fund Managers __________________ Clause 3 In this Chapter, “relevant employee” means an employee of an investment management company who, in the course of his/her job duties, receives
payment in the amount of Baht 5,001 million. Fifthly, the reversal of the gain from the valuation of available-for-sale investments and the loss on remeasurements of post-employee benefit obligations were
-19 Change (%qoq) Change (% yoy) Other operating expenses Employee expenses 2,143.56 1,836.94 16.69 597.71 (10.27) 0.42 Director’ remuneration 20.10 10.84 85.42 8.12 171.26 320.60 Premises and equipment
fund project and the commitment between unitholders and the management company contain the stipulations to support the operation of the fund after the establishment which shall be in compliance with Part
to have the units sold to the general investors listed on the Stock Exchange; (9) the fund project and the commitment between unitholders and the management company contain the stipulations to support