persons shall not be in aggregation at a time greater than one third of the total sold units of a mutual fund. Such limitations on unitholding are to ensure that investment units are widely allocated to
investment consultants who were in charge of this client for two consecutive periods of time, aided or abetted {A} in trading on behalf of the client as the client was not keen on investment and allowed Tanya
submitted the client?s securities trading orders via the internet from the IP address of Krungsri Securities for a certain period of time. Wasana admitted and explained that her client was not keen on
Krungsri Securities for a certain period of time. {C} admitted and explained that her client was not keen on investment and asked her to take care of the trading account.{D} failed to perform her duty in
(Account Aggregation) หน่วยงานกำกับดูแล :• มีการแจ้งเตือนเหตุการณ์ผิดปกติในตลาดทุน ทำให้การตอบสนองและการดำเนินการเพื่อช่วยเหลือเป็นไปอย่างทันท่วงที• มีข้อมูลประกอบการพิจารณากำหนดในเชิงนโยบายที่เกี่ยวข้อง