Thailand (SET) by issuing regulations or approving those drafted by the SET Board of Governors, accepting listing and delisting and supervising securities businesses by approving rules issued by the Bank of
ode of Ethics consists of guidelines for handling conflicts of interest, for example, prohibiting staff from trading stocks or accepting assets or other benefits with value exceeding those
, the mutual fund management companies must complete the transactions within five business days from the date of accepting transfer orders from the unitholders. (5) In the case of fund dissolution, the
, the mutual fund management companies must complete the transactions within five business days from the date of accepting transfer orders from the unitholders. (5) In the case of fund dissolution, the
the fee income from providing the regitrar services to the mutual funds under its management; (3) the fee for selling and accepting redemption of investment units shall be at the rate of 1 percent
according to the investor’s orders. She also counterfeited the investor’s signature to apply for an ATM card for the banking account the investor had opened for the purpose of accepting redemption money
bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
providing trading service for units of foreign collective investment scheme, securities company shall comply with the following requirements: (1) accepting trading order during business hours and on business