persuaded clients to invest in funds and withdrew large sums of money from the clients’ accounts. However, she did not make any investment transactions in accordance with the clients’ intention and
. _______________________ Remark: * Notifications on the relevant regulations are: (1) Notification of the Capital Market Supervisory Board No. Tor Nor. 59/2566 Re: Establishment of Mutual Funds for General Investors
The SEC has initiated an issuance of a notification stipulating rules, conditions and procedures for collecting, disposing, and distributing REIT assets, based upon the Notification of the Capital
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on non-complex capital market products as well as all types of high-risk or complex products. For example, investments units of mutual funds offered for sale to institutional investors or ultra-high
steam boiler and balance of plants including manufacturing and installation 3. Registered Capital: 25,000 EUR or equal to 901,052.50 Baht (Average selling rate on 4th April 2019: 36.0421 Baht per Euro
draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the
shall be in accordance with the requirements stipulated in the Notification of the Capital Market Supervisory Board Re: Rules for Management of Retails Funds, Mutual Funds for Accredited Investors, Mutual