their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In
selling under sub clause (2) or (3) of the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under
company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF. In this regard, the securities company shall comply with the rules as
case-by-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person
-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person or a
increase in gross profit for Baht 4 million. Main reason was both client retention and new client. Moreover, gross profit margin increased from 8.9% to 9.4%. 3. Both gross profit and revenue of Solar energy
liabilities and risk haircuts – to ensure that there are sufficient liquid assets to absorb losses, maintain stable financial status and, in the event of insolvency, prevent damage to client assets and the
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
services to a client, and (2) ongoing form for investment transactions such as subscription, redemption and switching. For further details of the public hearing, please visit https://www.sec.or.th/TH/Pages