investment loss must be provided and records on giving advices to clients must be kept.
trading transactions of a client making orders in the trading room.Investment consultants must keep a full and complete record of all investment advice as well as clients? securities and/or derivatives
), submitted orders for clients to trade shares of Unique Engineering and Construction PCL., (UNIQ) in a manner that inflated the share prices. The order were split into a number of orders despite it could be
performance of PF/DF marketing agents, and (3) the compulsory seeking of clients? consent before disclosing their personal information. The consultation paper is available at www.sec.or.th. Stakeholders and
), which was created by CFA Institute. The GIPS Standards include ethical principles that provide investment firms with guidance on calculation and reporting their investment results to prospective clients
are likely to have improper behavior and have adverse impact on clients and mutual funds. The personnel to be included are, for example, the person with supervisory functions and the assistants of the
suitability test before letting clients make an investment, as specified by the SEC regulation. ?Our mission is to protect investors as well as facilitate fundraising for business sectors and develop financial
Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013