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
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
Baht volatility and international capital movements. Within this context, KBank has accentuated enhancement of our business capabilities to achieve sustainable growth and maintain our market leadership
are merged together; (8) “mutual fund amalgamation” means amalgamation of two mutual funds or more into one mutual fund in which the mutual fund which accepts the transfer of assets purchases or accepts
shareholders on the basis of outstanding stock held by them when the merged CCPH’s surplus profits exceeds 100% of its capital stock. Provided that the rate of https://market.sec.or.th/public/idisc/Download
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
recording system for phone orders. Investor contacts, meanwhile, must take and keep complete and accurate information on their clients orders. And investors themselves must not ignore securities firms
have clear guidelines for the exercise of voting rights to maintain the best interest of the mutual fund and the guidelines shall be approved by the board of directors of the mutual fund management