account owner's knowledge to prevent potential damage. Recently, the SEC has punished offenders who caused damage to investors in several cases. In any event that an investor truly wishes to have a person

to market their ARFP funds, and make other necessary preparations for the coming of foreign competition by developing new products that truly respond to Thai investors? demands

offered truly serves needs of affected schools and in consistence with the project?s objectives. The SEC will follow up the school restoration processes to fully utilize the funds for utmost benefits to the

merely filling the report form. Rather, the board of directors and management?s functions must truly be independent to promote confidence. The next one is ?CSR-in-process? where CSR is embedded in every

and truly help boost working efficiency. For back office staff, additional knowledge on new financial instruments, risk management and regulations are needed for the staff to cope with dynamically

was for the purchase of mutual fund units on their behalf. However, the money was, in fact, not used for the buying transactions as per clients’ orders, but for Teerasak’s personal matters instead. In

exceeding 20% of NAV in the instruments issued by financial institution). Moreover, asset management company must disclose information on risks associated with the product in fact sheet.In term of sales

while in fact the person had received investment advice from another Kasikornthai employee who was not an approved investment consultant. {B}, the manager of the branch where the client received

loss; otherwise clients are not permitted to withdraw the remained money from the account, causing damages in millions of baht to some investors. The companies then seem to disappear but in fact remain

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