notices to the creditors or the unitholders whose names appear in the accounts and related documents of the mutual fund notifying such deposit of money or assets through registered mail with advice of
for clarification in the notifying letter which shall not be less than fourteen days but not more than twenty-one days; (b) complete the consideration of the application for approval within sixty days
selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the
) “analysis of securities investment” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the value of securities or the suitability
marketplace platforms, extends payment channels, implements a delivery tracking system, introduces branded exclusive products in specific channels, and improves IT product advising services. Dealer sales
IT product advising services. In 2023, gross profit amounted to THB 1,181.34 million, decreased by THB 47.84 million YoY (-3.89%). Gross profit margin was 8.73% as a result of the decrease in DIY and
assessment showing that the client is inappropriate to invest in or enter into a transaction of capital market products , the intermediary shall perform the following conducts: (1) notifying the client ; (2
made final order or judgment relating to the specified matter [in the Clause thereof], or [ii] when the SEC Office accuses such person to the inquiry official or issues a letter notifying the possession
technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have