had not been sufficient. This caused the client about 3,000,000 Baht in damage. In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market
revise the rules to allow a person or a group of persons to hold investment units of any retail fund not exceeding one-third of the total units sold.In case of exceeding the unit holding limit as specified
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
relatively little access to capital resources and are not keen on utilizing bonds to enhance business continuity and efficiency,? said SEC Secretary-General Vorapol Socatiyanurak at a seminar entitled, ?Bond
. The Smart Office uses less paper to preserve natural resources. This not only streamlines working procedures, both ours and stakeholders?, but also expedites service provision and enhances overall
by the public at large while the operating business must not create any conflict of interest with the securities business applying for the license. In addition, the existing and new coming Type D
relevant to its core or non-core businesses upon conditions that they have an apparent outsourcing policy, measures, criteria, and service provider control system. Outsourcing however does not discharge
proposed additional agenda on purchasing shares of KITHA Properties Co., Ltd. (KITHA) at the price not exceeding 800 million baht. The agenda was considered and approved at the meeting.As the purchase of
PLC. and the SEC that the client gave him the username and password for submitting the trading orders as the client had just started investing and not familiar with the Internet trading program.Making