ประเภทนายหน้าซื้อขายหลักทรัพย์ที่เป็นหน่วยลงทุน มิได้ปฏิบัติให้เป็นไปตามหลักเกณฑ์ เงื่อนไข และวิธีการที่คณะกรรมการกำกับตลาดทุนกำหนด กล่าวคือ รายงานการแต่งตั้งผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแล (Head of
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise
kept at the intermediary ’s head office for at least five years as from the last day of the calendar year when the services thereof are provided outside the intermediary ’s offices in order to be
, dates, time, and scope of services. Such report shall be kept at the intermediary’s head office for at least five years as from the last day of the calendar year when the services thereof are provided
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
, selection of service providers, and compliance with local rules and regulations. The SEC has therefore instructed CHUO to cooperate with the auditor in providing information and documents and submit the
companies generally offer private funds in the form of a standard portfolio. This business model provides clients with a selection of pre-defined investment portfolios without being customized to each