funds. "Such aforesaid research results have raised possible issues of unclear information disclosure, misleading advertising messages and fee collection. The SEC therefore reinforces such matters on
unavailability of anti-corruption policy or having an unclear policy against corruption. In any case, the SEC will continue to keep a close watch on listed companies? anti-corruption development. ?The Anti
ณราคารับซื้อคืนหนวยลงทุนไมถูกตองแบบมีนัยสําคัญ (incorrect pricing) (ขอ 27) เหตุผล เนื่องจากเกณฑปจจบุันกําหนดวา เมื่อเกิดกรณี incorrect pricing ใหหยุดรับคําสั่ง (ขอ 27) จึงเห็นควรกําหนดเพิ่ม
documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
fund committee for clarification (b) In cases where the payment is found to be incorrect, the correction should be carried out according to the rules notified by the Office or any agreement between the
found to be incorrect, the correction should be carried out according to the rules notified by the Office or any agreement between the fund committee and the management company and record such error as
rental (for the source of untreated water https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/202003/20030242.pdf 20052112.pdf channel remains unclear as there are remaining inventory of
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation