แบบประเมินตนเองก่อนตัดสินใจลงทุนในตราสารหรือธุรกรรมทางการเงินที่มีความซับซ้อน (due diligence checklist) สำหรับบริษัทหลักทรัพย์จัดการกองทุน (บลจ.) เพื่อยกระดับมาตรฐานการประกอบธุรกิจจัดการลงทุนให้เป็นสากล
; mainly due to the sales to those local customers. In addition, the 2008 financial statements submitted to the SEC on February 28, 2009 showed a net operating loss of 944.7 million baht. In this connection
period and also made trading decisions during January 5-6, 2012 which Theera failed to prove that the orders were sent according to the client?s instruction.The Nongan Saetung case was also submitted by
him to stop trading, but he traded again on January 5-6, 2012. {A} admitted he had traded derivatives for his client during aforementioned period and also made trading decisions during January 5-6, 2012
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
Montri Fund. Willful distortion of information in the fund scheme and prospectus and failure to properly conduct due diligence in the fund establishment as well as receiving benefits from the property
, at 740 million baht. The payment will partially be made by means of share swap where AJP will issue new shares at the price of 8 baht per share. The Audit Committee viewed that despite the proposed
Exchange (SGX), who is of view that volatility closing price on such particular day was due to market?s low liquidity. SGX also investigated on the incident and decided to set additional measure where market
securities firms themselves took part in share price manipulation. Strict enforcement on this case is imperative. Due to their misconducts, Porntep and Arada now have prohibited characteristics of capital
? responsibility for the client assets and must have provisions requiring that the companies take full responsibility for the client assets should they become lost or damaged due to the companies? negligence. The