their clients regarding investment advice, negotiations and trading orders for at least one month from the date of such activities. This is to show evidence of duty performance toward their clients and
quarter of 2018 would show a great decrease in profits. She sold out 314,500 of UVAN shares that were held under the trading account of Amornrat to avoid loss before UVAN submitted its financial
failed to show evidence of their clients trading orders, and most of them admitted that they had taken orders via mobile phone, claiming the clients unfamiliarity with order execution via phone recording
publicize Anti-corruption Progress Indicators of every securities and asset management companies from 2016 onwards. The disclosure aims to show implementation progress of securities business operators? anti
interested in Life-Path type of provident fund, which automatically changes its investment ratios as the employees become older. In the 2nd quarter of the year 2018, statistics show that 7 investment
: investglobalmanagement.com show messages soliciting foreigners in Thailand to invest in securities such as stocks, mutual funds and structured notes on a trading platform, and the investors who use the service are subject to
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
diligence; 2 (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial
control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial prudence An intermediary shall
) Reasonableness of transaction The lease of buildings to SSE for use in its service provision is a reasonable transaction . This is because KYE has hired SSE to provide it with this service and the results is that