worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
and, consequently, build a strong company culture. Further analysis validates the results, including propensity score matching (PSM), entropy balancing, an instrumental-variable analysis, Lewbel’s (2012
, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, IA, and LBDU operators will have to comply with the capital requirements variable to
approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index, securities index or any other variables as specified in the notification of the SEC with the
ขายหลักทรัพย์ การค้าหลักทรัพย์ และการจัดจำหน่ายหลักทรัพย์ที่เป็นหน่วยลงทุน (LBDU) โดยให้การดำรงเงินกองทุนอยู่ในรูปแบบผันแปร (variable capital) ตามรายได้หรือค่าใช้จ่ายของการประกอบธุรกิจ เพื่อให้สะท้อน
, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc (Translation) arising from or related to
with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc