instance, fund management may be outsourced up to 20% of AUM of each asset management company and must be clearly disclose in the prospectus. In case of private fund management, consent of the client is

admitted that he had been authorized by his clients to enter securities trading orders on the clients' behalf and then inform such client via mobile phone after the trades were executed.  {A} also admitted

will remain subject to the defined criteria.For outsourcing activities directly relevant to their core businesses, such as management information technology and client registrar, the business operators

routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading

be sufficient and timely. Independent credit rating without issuer client must be stated accordingly, and whether or not the issuer has contributed any information for the rating, in the CRA report to

securities. In addition, it was found that a client of {B} asked her to make trading decision on his behalf while {C} submitted the client's securities trading orders via the internet from the IP address of

into any transaction for a client with any particular counterparty more often than necessary. Chapter 2 Additional Rules on Transactions for Clients with Intermediaries or Connected Persons

client with any particular counterparty more often than necessary. Chapter 2 Additional Rules on Transactions for Clients with Intermediaries or Connected Persons ______________ Clause 6 The following

Thailand is behind other countries in South East Asian. In 2018, retail industry growth only at 3.9% per annual. The Company engages in retail rental space for retailer more than 1,500 client and operate 3

. 4/2543 Re: Custody of Client Assets of a Securities Company (codified as of 28/03/2002) (Synopsis)   04/01/2000 01/04/2000 2. Notification of the Office of the Securities and Exchange Commission   7