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
information to investors, and a good disclosure of information should be free flow, namely, investors should have equal access to information. Information must be accurate, reliable, adequate and timely. In
Securities Trading Practices Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
ทดสอบความรู้ความสามารถสำหรับผู้ประเมินรายใหม่ (เพิ่มเติม) แนวทางพิจารณาการให้ความเห็นชอบ (work flow) กฎเกณฑ์ที่เกี่ยวข้อง รวมกฎเกณฑ์ ที่เกี่ยวข้อง ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และ
purpose. Explanation The following are examples of indicators of financial risk or difficulties to the company’s sustainability: (1) ongoing losses (2) poor cash flow (3) incomplete financial records
) Calculate offering and redemption prices of the investment units at the end of every trading day. (3) Announce the NAV and investment unit values: (3.1) As of the closing date of the unitholders register
) Calculate the NAV and investment unit value at the end of every business day. (2) Calculate offering and redemption prices of the investment units at the end of every trading day. (3) Announce the NAV and