One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to create opportunities and reduce restrictions to enable prospective investors to access investment services by taking advantage of technological advances which lead to the development of new financial service platforms that correspond with consumer behaviors today, including new services to sell mutual...
3. Buying/ selling process of investment products • Describe the features of available channels for buying and selling investment products. • Identify the roles and responsibilities of the financial
from poor timing and end up buying and selling at the wrong times. /Timing the market is too difficult. “It is a losing strategy” gChasing (short term) past performance has been a basic investment
, will be paid in cash in an amount of not exceeding 95 million Indian rupees. (Ninety-five million Indian Rupees) After the additional investment by buying the common shares and preferred shares, the
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
AEC Securities Public Company Limited Between December 25, 2018 and May 22, 2020, AEC Securities Public Company Limited , as a securities and derivatives broker, failed to submitting an accurate and
Asia Wealth Securities Public Company Limited Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and
AIA Company Limited AIA Company Limited , an intermediary provides services for selling and buying investment units through omnibus account, has to govern the service under the provisions being