. Regarding the share transfer case, Auracha, then an invesment consultant at AEC, was found transfering shares in the client's trading account into her mother's account for her own benefits. Such share
trading account into her mother?s account for her own benefits. Such share transfer was prearranged, starting from Auracha?s opening a trading account for her mother without declaring their relationship to
services of intermediary , including any fund , unit holder and member of provident fund. “ fund ” means a mutual fund or a private fund. “ capital market products ” means any securities and derivatives
strong. Household income in the agricultural sector contracted, both in term of price and output. Meanwhile, non-farm household income remained stable. However, private consumption and export was seen
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management
To be in line with the government’s policy to promote the operations of social enterprises under the supervision of the Office of Social Enterprise Promotion, and to encourage more private
more efficient.SEC understands the benefits of encouraging the intermediaries to do e-KYC. Not only e-KYC is effective methods, but it also supports clients that have changed themselves to digital
and private fund management fees for funds managed by ONE Asset Management Limited (the Company’s subsidiary). 1.3 Interest on margin loans The Company’s interest income on margin loans in 3Q2018 was
regulatory regime, and (4) exploiting the benefits from the growth of emerging Asia, with the objectives for the Thai capital market to serve the needs of all types of fund seekers and investors, facilitate