ชื่อผู้ได้มา/จำหน่าย :?OFFSHORE DYNAMIC FUND INC. | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 09/05/2549
) ownership or land leasing right only for activities in forestry and agricultural sectors to keep carbon volume sufficient for complying with the criteria of Thailand Greenhouse Gas Management Organization
lift up efficiency of portfolio management under today?s dynamic financial and economic conditions. Instead of buying newly-launched bonds or adopting buy-and-hold investment strategy, the investors
, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117
procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives
sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC
Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information