years, the SET has placed high priority on promoting investor education and investment in mutual funds through a number of projects and activities, especially the well-known ?Let Your Money Work through
enforce the application of high quality accounting and auditing standards. As the SEC has direct responsibility over a supervision of the auditors of securities issuers and entities under the SEC
considerably higher trading commissions from frequent submission of orders and high volumes during the marketing campaign launched by Country Group Securities. For {C}, she was assigned to take care of this
คุ้มครองผู้ลงทุนประเภทต่าง ๆ ในระดับที่เหมาะสมอย่างไรก็ดี จากการประเมินสภาพปัจจุบันแล้วพบว่า ภาคธุรกิจได้มีการออกตั๋วเงินอย่างแพร่หลายโดยเฉพาะอย่างยิ่งมีการเสนอขายต่อผู้ลงทุนรายใหญ่ (high net worth) เป็น
activities through such client accounts. Particularly, {A} was found to have made a high volume of trades. {C} had also made such continued misconduct and gained a large amount of profit from commission fees
securities, in fact almost every day, resulting in a high trading volume. {C} admitted that the client permitted him to make trading decision without the client's confirmation or with post-trading confirmation
account where trading had been made in relatively high frequency and volume without any record of client's trade order for three months from the opening of the account to the investigation date. In this
submission of a request to increase credit line only five days after trading of securities. A number of trading orders were sent with high volumes during a certain period of time without sources of the orders
ประเภทสถาบัน (institutional investor) (2) กิจการเงินร่วมลงทุน (venture capital fund) (3) นิติบุคคลร่วมลงทุน (private equity fund) (4) ผู้ลงทุนรายใหญ่พิเศษ (ultra high net worth investor) และ (5) ผู้ลงทุน