investment units of mutual fund; 2) Redemption payment in the form of securities or other assets in lieu of cash (Pay in Kind); 3) Incorrect pricing of the investment units; 4) Fees or expenses imposed on the
not properly entering into the transaction in accordance with the Notification on Connected Transactions was because it was mistaken believed that the lending was merely liquidity management. However
where debt issuers have used the channel for offering to a limited number of investors for the wrong purpose by extending such offer to high net worth investors who knew little information on the issuer
periods as well as popular funds seem to considerably attract more investment money than others. Unfortunately, most investors tend to buy high and sell low, getting caught in a wrong market timing. It is
the account for the wrong purpose in contrary to the terms of service, and take action on the client who fails to comply with the terms of service, which shall include temporary suspension or
22.12.06 Thailand crypto catastrophes.ppt What could go wrong? Crypto catastrophes in 2022 Terra UST & LUNA May 2022 The Terra blockchain included a decentralized lending platform, Anchor. Anchor
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
mutual fund Prescription of additional rules Calculation and announcement of net asset values (NAV) Procedures for incorrect pricing Sale and repurchase of investment units Preparation of mutual https
systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants