, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and
standard. Such units shall undertake independent operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties, responsibilities, or nature
standard. Such units shall undertake independent operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties , responsibilities, or
195,216 1.45 225,559 1.80 Land and Houses Bank 238,658 1.26 168,171 1.25 158,118 1.26 ICBC (Thai) 199,700 1.05 102,142 0.76 106,306 0.85 Standard Chartered Bank (Thai) 151,860 0.80 61,351 0.46 32,449 0.26
investment account. In this regard, investors are usually requested to give the same information repeatedly when open a new account with different intermediaries. Such redundancy causes inconvenience and a
นำส่งภาพถ่ายประกาศและซักซ้อมความเข้าใจเกี่ยวกับการจัดทำและจัดส่งรายงานข้อมูลผู้ถือหน่วยลงทุนของกองทุนรวมของผู้ประกอบธุรกิจที่ให้บริการซื้อขายหน่วยลงทุนแบบไม่เปิดเผยชื่อลูกค้า (omnibus account)
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
appropriately responsible for the accommodations and travelling expenses truly incurred from such visit, and the SEC Office may set a clear criterion for this matter. Clause 4 The information or documentation
Transaction, i.e. a transaction whose size is not less than 50 percent but is lower than 100 percent, calculating based on the total value of consideration criterion, which gives the highest transaction value