asset management company in determination of IPO period which will allow making of investment for mutual fund prior to closing of IPO. This will be beneficial for investment especially during market
trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
other business operators within 2 years, the client will not be required to do the suitability test prior to making investment in newly issued shares, warrants or bonds. Also, the submission of client
ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of
for investment decision making. SEC Secretary-General Vorapol Socatiyanurak said the SEC in collaboration with the Association of Thai Securities Companies (ASCO) urges each securities house to conduct
shareholders? rights and investors? decision making. THL must submit the report of the special audit to the SEC within December 9, 2011 and disseminate it to the public via the Stock Exchange of Thailand
for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among Zipmex
an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha Properties Company Limited (“Kitha”) in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to
making ADAM dishonestly purchased the whole ordinary shares of Kitha in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was