marketing representative of private funds; “Customer solicitation” means soliciting of customer to enter into an agreement with a private fund management company by preparing investment plans for such
the private fund management company as marketing representative of private funds; “Customer solicitation” means soliciting of customer to enter into an agreement with a private fund management company
Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33
of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2
Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the
เสนอขายกองทุนรวมที่ไม่เหมาะสมกับข้อมูลของผู้ลงทุน (customer profile) และไม่ได้อธิบายให้ผู้ลงทุนเข้าใจในกองทุนและความเสี่ยงของกองทุนที่เกินกว่าระดับที่ผู้ลงทุนยอมรับได้ก.ล.ต. ได้รับเรื่องร้องเรียนจาก
Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for https://publish.sec.or.th/nrs
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CUSTOMER ASSET SECTION 31.2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if appropriate, promulgate the notification
CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if appropriate, promulgate the notification