, and infrastructure funds.  The proposed issues concern seeking the unitholders? resolution that either impacts all classes or a particular class of investment units; counting votes of persons or group

act as the loss buffer. The position risk calculation with respect to general market risk and specific risk for various investment including equities, debt instruments, and investment units will be

changing market environments.The proposed key changes include (1) adjustment of position risk calculation, (2) inclusion of diverse financial instruments such as equity, debts, investment units and trusts in

, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her

Bangkok, February 13, 2015 ?Current regulations prescribe that a mutual fund must be dissolved if more than two-third of all the units sold were redeemed. The rationale behind the said regulations is

personal use, and (3) redeeming investment units in the client’s mutual fund portfolios through the bank’s internet banking and transferring the fund from the unit redemption to her own banking account

selling clients’ investment units in multiple transactions. She illicitly used other employees’ login credentials to approve the redemption of investment units and the withdrawal of redemption proceeds

from DAOLS’ failure to exercise due care and diligence in protecting the interests of the bondholders, including failing to verify existing encumbrances on the condominium units serving as collateral

FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, had duties to

FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply