phone and Line Application. However, the recorded conversation showed that she accepted to trade securities on behalf of clients.Failure to disclose specific risk  of securities and trading securities on

systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the standards accepted by the Anti-Money Laundering Office.As a result of the application rejection, Coin Asset

Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's

funds that may not have already accepted retail investors. Previously, mutual funds were allowed to invest in SET-listed infrastructure funds or those offerred to retail investors only; (3) Relaxation of

Responsible Investing Fund (SRI Fund) is a mutual fund with an investment policy focusing on investment in securities of businesses that operate sustainably according to internationally accepted principles

following conditions and have been passed for not more than 2 years as of the application date: 1.1 organized or accepted by the SEC Office; 1.2 internationally organized and accepted by the SEC Office. In

or accepted by the SEC Office; 1.2 internationally organized and accepted by the SEC Office. In this case, an additional examination on related rules is required. 2 CFP Module 1 (fundamental financial

: “securities holder” means any securities holder accepted by the securities registrar. “client” means any securities issuer accepted by the securities registrar. Clause 2. In providing services as securities

made securities trading decisions on the clients? behalf. The recorded conversation indicated that Ashiya and Onjira specified securities, amount and price for their clients and the clients accepted

conversation indicated that {A} and {B} specified securities, amount and price for their clients and the clients accepted their trading decisions without objection or asking for any information of those