seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
การคำนวณอัตราส่วนการลงทุน (company limit) ของหลักทรัพย์หรือตราสารหนี้ที่ซื้อด้วย 3. ในการทำธุรกรรม reverse repo บริษัทจัดการต้องคำนวณ company limit ทั้งของคู่สัญญา (ผู้กู้) และผู้ออก
Trading (section 98(7)) Other Business Undertaken by Securities Companies (section 98(8)) Advertising (section 98(10)) Acting as Securities Company Agents (section 100) Loans to Customers (section 102