had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that
into force since 3 March 2021. Additionally, the SEC has revised related regulations to allow the existing business operators to switch to License E or PF License in line with the business model they
volume among retail investors, 2. The imbalances are more prevalent among lower-priced stocks (below 50 Baht), 3. TO and MO imbalances tend to have opposite signs for retail investors at threshold prices
shall not affect the existing rights of the unitholders. (2) The mutual management company may allow the unitholders to switch their investment units from one class to another. The procedure for the
or right of a person arising from derivatives trading. “close out a derivatives position” means to discharge an obligation or terminate rights under derivatives an equal and opposite trade which
same quarter last year and 7.5% up from the last quarter this year. Major contributions were increased demand in Network Switch products and Industrial Tools products. Gross profit in this quarter
contract for hedging the risk of client on the condition that such dealer has a risk profile opposite a client’s hedged risks at the time of contracting, or the derivatives would be able to significantly