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
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
assets 6.4 Mutual fund with a one-time investment strategy (Buy-and-Hold Funds) 6.5 Announcement of the NAV 6.1 Closed-end funds (1) Calculate the NAV and investment unit value at the end of every
-end funds 6.2 Open-end funds 6.3 Mutual fund with investment in foreign assets 6.4 Mutual fund with a one-time investment strategy (Buy-and-Hold Funds) 6.5 Announcement of the NAV 6.1 Closed
shareholders, for example, the right to buy, sell or transfer shares, the right to obtain correct and adequate information, the right to receive dividends, the voting right at shareholders’ meetings, the right
shareholders, for example, the right to buy, sell or transfer shares, the right to obtain correct and adequate information, the right to receive dividends, the voting right at shareholders’ meetings, the right
Securities Trading Practices Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business
to issue such order; however, the SET or the SEC may take other measures, for example, posting the trading suspension sign or blacklisting the director(s) or executive(s) for allowing such
) 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