decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
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
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
เรียกขอข้อมูล ภาพรวมการลงทุนหลักทรัพย์ที่ถือครองได้ทั้งหมดในลักษณะพอร์ตโฟลิโอจากทุกบัญชีที่ใช้บริการในตลาดทุน (Account Aggregation) โดยครอบคลุมผลิตภัณฑ์ในตลาดทุนทุกประเภท ทั้งตราสารหนี้ ตราสารทุน หน่วย
. Hence, despite the lost in revenue, the overall margin for accounting and financial outsourcing did not suffered. For the ERP business, it was a year that we were busy fulfilling the backlog from last
turnover in busy season? 4 How does the firm address concerns regarding the competence and capabilities of engagement team members, including ensuring they have sufficient time to perform their
2- and 3-Carrier Aggregation (CA) technology. During the quarter, the competition focused on acquiring/maintaining quality customers in postpaid segment through handset campaigns and pricing strategy
calculated based on that alternate denomination. This approach of aggregating buildings in a bond portfolio is known as the Full Aggregation Method. Condition 1b: Will achieve equivalent performance over the
(Account Aggregation) หน่วยงานกำกับดูแล :• มีการแจ้งเตือนเหตุการณ์ผิดปกติในตลาดทุน ทำให้การตอบสนองและการดำเนินการเพื่อช่วยเหลือเป็นไปอย่างทันท่วงที• มีข้อมูลประกอบการพิจารณากำหนดในเชิงนโยบายที่เกี่ยวข้อง