Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock
) Statutory Disqualifications for Management (section 103) Accounting and Records (section 105) Audited Financial Statement & Auditor Approval (section 106) Public Disclosure (section 108) Reporting and
2018 performance which showed a net loss of 2,040.57 million baht due to the accounting of impairment reserve for investment records and other records in relation to a company in which TRC had invested
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
โมง สามารถดูรายช่ือสถาบนัจดัอบรมหลกัสูตร refresher ไดท่ี้ https://www.set.or.th/th/education-research/education/professional/training/public-training-provider 2. ด ารงสถานภาพ * เป็นผูจ้ดัการกองทุน (FM
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, collaborated with representatives from the Deposit Protection Agency (DPA) and the Bank of