; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
('{SiteUrl}'))+ '/_layouts/15/hold.aspx' +'?ID={ItemId}&List={ListId}'); return false;} if(pageid == 'audit') {STSNavigate(unescape(decodeURI('{SiteUrl}'))+ '/_layouts/15/Reporting.aspx' +'?Category=Auditing
fund to be established fully complies with all conditions as follows: 1. In the case that the mutual fund has the policy to invest in assets that are exposed to foreign exchange rate risk, the
fund to be established fully complies with all conditions as follows: 1. In the case that the mutual fund has the policy to invest in assets that are exposed to foreign exchange rate risk, the
) 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
company disclose false essential information or conceal any facts of which the shareholders should be notified. T aking legal proceedings to claim for damages or the lost benefits to a company, when
, embezzlement of company assets, conflicts of interests, or window dressing. Unfair treatments related to securities trading, for instance, market manipulation, insider trading and dissemination of false
has been completed; ● In case of unfair securities trading (such as price manipulation, insider trading, and dissemination of false statements), the SEC may proceed through criminal fining or criminal
ข้อขัดแย้งในภายหลัง การให้บริการแก่ผู้ลงทุนกลุ่มเปราะบาง (Vulnerable) เพื่อที่จะเข้าใจลักษณะของผู้ลงทุนกลุ่มเปราะบาง และการให้บริการที่ต้องใช้ความระมัดระวังเป็นพิเศษ การให้คำแนะนำการลงทุนที่เหมาะสมกับ