evidentiary documentation retrievable for inspection by the SEC Office. Division 2 Specific Rules for Execution of Transactions for a Fund with a Management Company or a Connected Person _________________
-retail Investors and Execution of Agreements for Managing Private Funds (No. 17); (3) Notification of the Capital Market Supervisory Board No. Tor Nor. 48/2567 Re: Regulations for Management of Mutual
committing the offenses shall be remitted to the Ministry of Finance as public revenue. _________________________Remarks: * The domination of trading orders refers to the execution of bid and offer
. _________________________Remarks: * The domination of trading orders refers to the execution of bid and offer orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid
ซื้อขายหลักทรัพย์เพื่อกองทุนรวม กองทุนส่วนบุคคล หรือกองทุนสำรองเลี้ยงชีพที่อยู่ภายใต้การจัดการของบริษัทแล้ว (best execution) ก็เห็นว่าการดำเนินการเช่นว่านั้นน่าจะมีลักษณะตามข้อ 3(1) และ (2) แห่งประกาศที่
of funds between Hong Kong and Thailand shall become effective upon the SEC’s completion of the amendments to the relevant regulations. In this regard, the SEC has issued two Notifications of the
project completion and payment collection and had been recorded under selling expenses. Selling expenses For the 3-month periods ending 30 June 2018 and 2019, the Company’s selling expenses were 0.87
Company has assessed the impact from such delay in project completion. In relation to this project, there were unbilled contract revenue amounting to Baht 57 million, which the collectability are directly
, including undertake the securities lending for completion of securities sales under the rules prescribed by Notification of the Office. Clause 5. Prior to undertaking a short sale of securities for itself, a
call for collateral, including undertake the securities lending for completion of securities sales under the rules prescribed by Notification of the Office. Clause 5. Prior to undertaking a short sale of