The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as
Microsoft Word - Eng-SET Q2-18 reviewed Ref: FASET 03/2561 August 28, 2018 Subject: Report the operating result for the second quarter and for the six - month period ended June 30, 2018 To: President
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
Microsoft Word - Eng-SET Q1-18 reviewed Ref: FASET 02/2561 May 11, 2018 Subject: Report the operating result for the first quarter ended March 31, 2018 To: President of the Stock Exchange of Thailand
Microsoft Word - Eng-SET Q3-18 reviewed Ref: FASET 04/2561 November 12, 2018 Subject: Report the operating result for the third quarter and for the nine-month period ended September 30, 2018 To
Zipmex to act in the best interest of its clients and in readiness for facilitating their asset withdrawal transactions. In this connection, to keep Zipmex’s investors updated and accurately informed about
intermediaries and personnel in the capital market to adopt standard codes of ethics and provide quality services for clients? best interest,? Mr. Rapee concluded.The Strategic Plan 2018-2020 focuses on
MFOCUS : Fund Fact Sheet 2018 ข้อมูล ณ วันที่ 30 มิถุนายน 2563 หนังสือชี้ชวนส่วนสรุปข้อมูลสำคัญ กองทุนเปิดเอ็มเอฟซี โฟกัส อิควิตี้ MFC Focus Equity Fund (M-FOCUS) กองทุนรวมตราสารทุน กองทุนที่ลงทุนแบบ
conducted a public hearing on a proposed amendment to the regulations on custody of clients’ assets. Comments and recommendations from the hearing respondents were taken into consideration when revising final
consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts without executing the transactions that the clients had made. Besides, she made false evidence by forging