client due diligence ? e.g., clients? investment objectives, personal conditions and risk tolerance ? before giving advice, attached with supporting reasons, on suitable funds for their investment. In

conditions are met, improving the liquidation rules of mutual funds to make it more practically expedient. Moreover, changes were also made to the notification relating to the establishment of money market

program trading including the trading conditions. A key operating system compatible for the undertaking of private fund management must also be established to ensure that intermediaries will be able to

conditions under the contract made with the responsible securities company. Thus, investors should be fully aware of risks associated with such specific type of trading

proposes to revise such rules to be more suitable and consistent with the present conditions. The revision process takes into consideration the environment and the difficulties and obstacles in business

conditions.  The three persons? offences were in violation of Section 243(1)(2) in conjunction with Section 244, and liable to the punishments under Section 296 of the Securities and Exchange Act B.E. 2535

specified conditions, such as qualifications and disqualifications, more flexible approval process, including rules on performance of services similarly to the current rules on oversight of investment

market conditions.  The evidence showed that Sagha?s continuous trading activities in concealment had misled and lured the public to trade FOCUS, IFEC and RCI shares, and that trading orders were matched

reports on financial conditions. In addition, their executives must possess the prescribed qualifications.Besides public sector organizations must file registration statement with additional material

emphasis on sufficient information on offered products and services for investors? understanding and investment decision; particularly characteristics, return payment conditions, and the risks involved, not