According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
> Management of Mutual Fund > Amalgamation and merger of mutual fund Regulations SHARE : Detail Content Management of Mutual Fund 14. Amalgamation and merger of mutual fund An amalgamation of mutual fund A
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
: Notification of the Resolution of the Board of Directors’ Meeting of Namyong Terminal Public Company Limited Regarding the Amalgamation between Sapphire RoRo (Thailand) Limited (the subsidiary of Namyong
Resolution of the Board of Directors’ Meeting of Namyong Terminal Public Company Limited Regarding the Amalgamation between Sapphire RoRo (Thailand) Limited (the subsidiary of Namyong Terminal Public Company