Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system
stakeholders. This type of information, when combined with financial information, can provide valuable insights to the overall quality of management which is a critical factor in the appraisal of a firm’s
Company has a duty to disclose the information memorandum regarding such transaction to the SET and appoint an independent financial advisor to provide opinions on the transaction as well as arrange to
been valued by a range of valuation methods including relative valuation as reflected by relevant trading companies, precedent transactions and discounted cash flows. 5. The General Characteristics of
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
memorandum regarding such transaction to the SET and appoint an independent financial advisor to provide opinions on the transaction as well as arrange to obtain approval from its shareholders’ meeting on the
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause