information was disclosed to the public through the SET Information Transmission System on 30 May 2016. The SEC investigation also revealed that (7) Mr. Anurag Baheti, Senior Manager of PTL Finance and
, that audit quality will not be compromised as the SEC will require both groups of auditors to work for audit firms that perform and equip with quality assurance system in compliance with professional
securities companies, ASCO can reaffirm that all securities companies have operational system to monitor proprietary trading. ASCO has issued measures to take care of the matter while the SEC regularly
it has already been disseminated via SET electronic system; (3) The following cases will be exempted from filing of every five percent report:- Borrower and lender in securities borrowing and lending
keeping of investment advice and trading orders, as the evidence indicated that she had regularly made contact with the client through tape recording system and was able to take client's orders through such
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
accessed the company's system to review the trading information without any objection. The actions of {B} and {C} were deemed as obtaining authorization from client to make securities trading decisions on
channels. Less than 20 percent of funds are sold through an open-architecture system. Moreover, media outlets should disclose costs or help promote long-term investment. Vorapol Socatiyanurak, SEC Secretary
/> 2.1 การยื่นคำขออนุมัติจัดตั้งและจัดการกองทุนรวม พร้อมทั้งเอกสารหลักฐานประกอบคำขอ ให้ดำเนินการผ่านระบบ (Online Fund Approval and Management System : OFAM) ที่จัดไว้บนเว็บไซต์ของสำนักงาน
บริษัทจัดการ สำนักงานเห็นควรปรับปรุงวิธีปฏิบัติในการจดทะเบียนเลิกกองทุนรวมเป็นแบบ auto approve ผ่านระบบงานอิเล็กทรอนิกส์ (Online Fund Approval System - "OFAM")โดยมีขั้นตอนการดำเนินการต่อไปนี้ ทั้งนี้