proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity
proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary; (b) affected trade of capital market products deviated from regularity
dividend payment (if any); (6) method of payment of money or other assets; (7) issuance and delivery of the entitlement documentation of investment units; (8) preparation of the register of investment units
fund or a capital protected mutual fund? If so, how? (f) What is the financial period of the mutual fund? (2) Questions and answers on provisions of trading and transferring investment units, as follows
Chairman to finalize the relevant details of investment and documentation. 3. The Board of Directors approved the organization restructure for the Company’s precision subsidiaries in consider of long-term
trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment
person giving investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of
World Trading Prosperity Co., Ltd. World Trading Prosperity Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such
consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of investment. “investment planner