เรื่อง ซักซ้อมข้อกำหนดเกี่ยวกับบุคคลที่สามารถเข้าถึงข้อมูลการซื้อขายหลักทรัพย์ของลูกค้าในลักษณะ real time
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
mutual funds are able to successfully time the market and that their performance is negatively related to their expenses. • Carhart (1997) documents that persistence in superior fund performance is very
, accepting of trading orders, 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
, 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
, 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
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
Pacific jurisdictions, namely Cambodia, New Zealand, Malaysia, the Philippines, Laos, Singapore, Australia, Indonesia, South Africa, Hong Kong and Thailand. This is the 2nd time the SEC has the honor to
means, the securities company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities https://publish.sec.or.th/nrs/65se.pdf ประกาศ