of private fund” means a person appointed by a private fund management company as a representative for client solicitation; (3) “management company” means a mutual fund management company and a private
” means a person appointed by a private fund management company as a representative for client solicitation ; (3) “ management company ” means a mutual fund management company and a private fund management
” means a person appointed by a private fund management company as a representative for client solicitation; (3) “management company” means a mutual fund management company and a private fund management
นางพรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) พร้อมคณะผู้บริหาร ให้การต้อนรับ Mr. Paul Moody Global Partnerships and Client Solutions, CFA Institute
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as
that during 4 January 2013 - 15 October 2014 {A}, then working for Thanachart Securities Public Company Limited, used the trading account of a client who was his mother to trade securities for himself
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
188.6 188.6 186.1 183.0 184.9 186.3 186.3 4 Profit and Loss Transaction For the year ended December 31, CONSOLIDATED Change (BAHT'000) 2018 2017 Amount % Interest income 16,294,353 14,844,465 1,449,888