Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
(public hearings / focus group) 3. นำหลักการเสนอคณะกรรมการ ก.ล.ต. / ก.ต.ท. (กรณี ประกาศสำนักงาน จะไม่มีขั้นตอนนี้) 4. จัดทำร่างประกาศ 5. เปิดรับฟังความคิดเห็นร่างประกาศ (public hearings / focus group) 7
Introduction SHARE : Detail Content Class Action is a type of civil proceedings whereby one or more plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the
infrastructure activities using a trust as a vehicle. An Infra Trust serves not only as a fund mobilizing alternative for the public and private sectors but also an investment choice for all types of investors
) fails to fulfill its obligations as to clearing and settlements, all operations must be ceased while risks associated with proprietary trading must be reduced, and client positions are to be transferred
disclosed in the filing. The buyers of the units shall settle unit subscription in cash or cash-equivalence. The number of units allocated to any persons or a group of the associated persons shall not be over
serves not only as a fund mobilizing alternative for the public and private sectors but also an investment choice for all types of investors. The following diagram summarizes discrepancies and similarities