sellers who have benefited more than they should have (in cases where they still have a sufficient number of units at the time of compensation);   (2)  To increase flexibility for AMCs to pay monetary

กลโกงหลอกลงทุน โดยยึดหลักการตั้งเป้าหมาย SMART (Specific, Measurable, Achievable, Realistic และ Time-bound) และหลัก 3 รู้ (รู้เรา รู้เขา รู้ระวัง) ให้แก่ประชาชนในจังหวัดสมุทรสงครามและจังหวัดเพชรบุรี

to the IT Standard Rules this time are summarized as follows:  (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls

to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time.  Despite no intention to conceal information in the

In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for

monitoring the business operations and for a proper investment making-decision in a reasonable period of time. In addition, SEC has issued a guideline on information disclosure for listed companies

an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to

, for example, direct transfer to the service provider’s account or electronic payment receipt channel. In any case, temporary payment receipt slip must be kept as evidence every time a payment is made

/reverse repo agreement regulations.The public hearing this time is on the regulations drafted in accordance with the approved principles to accommodate repo/reverse repo transactions of securities

persons shall not be in aggregation at a time greater than one third of the total sold units of a mutual fund. Such limitations on unitholding are to ensure that investment units are widely allocated to