without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
Ministry of Finance, with remaining time to maturity not more than one year. In addition, the companies must calculate the market prices of the invested instruments at least every business day to ensure that
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
nor given an SEC approval, to oversee company policies including the monitoring of day-to-day operations and had failed to observe the company’s charter of the board of directors in relation to
limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock
not limited to debt securities or the units; (c) brokerage, dealing, or underwriting limited to units which: 1. has securities portfolio; 2. provides services of trading investment units, registered as
) brokerage, dealing, or underwriting limited to units which: 1. has securities portfolio; 2. provides services of trading investment units, registered as listed securities, for clients through a member of SET
the periods of time as specified in the following subclauses: (1) in case of transaction in respect of trading shares, the confirmation statement shall be sent out within the following business day of
specified in the following subclauses: (1) in case of transaction in respect of trading shares, the confirmation statement shall be sent out within the following business day of the transaction date; (2) in