of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the
Exchange of Thailand dated 18 May 1992 which have been in force prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
Customer (KYC) were inconsistent with the SEC's acceptable standards, while the sufficiency of their IT security and cyber security systems could not be verified.In addition, as a result of the application
that YCI shares were traded in big volumes. Such manipulation caused the price and the trading volume of YCI shares to be inconsistent with the normal market condition. In so doing, Siwasit was assisted
that are inconsistent with international standards or insufficient to protect investors' interest efficiently."The new Securities Law covers six areas as follows:(1) Enhancing flexibility of
on derivatives as specified by the list attached to the Notification of the Securities and Exchange Commission No. KorChor. 8/2553 Re: Determination of Untrustworthy Characteristics of Company
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least