funds’ assets, and for recording the asset inflow and the asset outflow of each mutual fund; (e) Systems for attending and monitoring the rights and benefits arising from mutual funds’ assets
securities purchasing or securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the
securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the Office of the Securities
management of the Office. (6) Prescription of rules and practices for recording the rationale to demonstrate that the investment decision of the fund manager has been done appropriately and effectively e.g
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other
, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data recording device. Clause
the past 10 years. The Company realized its stock loss of 2.75 million Baht from the recording NRV on 31 December 2018. Besides, part of the loss was caused by loss on impairment of investment in