ที่เรียกเก็บจากผู้ถือหน่วยลงทุนในการขายคืน (exit without fee) โดยต้องระบุการไม่คิดค่าธรรมเนียมนั้นไว้ในการแจ้งแก้ไขเพิ่มเติมโครงการฯต่อผู้ถือหน่วยลงทุนด้วย จึงเรียนมาเพื่อโปรดทราบและถือ
On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding
on the misconducts of {A}, an investor contact of Siam City Securities Co., Ltd. , stating that {A} sent securities and derivatives trading orders continuously in large amount without evidence of
substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form
indicating that {A} sent trading orders and afterwards informed his client's authorized person. Such authorized person did not reject the transactions. From the record, in addition, {A} specified details of
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic https
ตลาดหลักทรัพย์ established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “ electronic data” means statements that are created, sent, received, stored or
director and executive at the time of the offence, on the ground of insider trading. They were ordered to pay civil fines and return any gains from the offence.*Mr. Suphanan, however, sent a letter asking