Facebook page TraderHighly Speculative : Unlicensed securities and derivatives business (Disclosure Date : 28/09/2022)
Facebook page TraderHighly Speculative - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 28/09/2565)
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
. As in the U.S. experience, beta did not account for return differences among individual stocks. Because of the speculative nature of Chinese capital markets, the large proportion of government-owned
value of ELWs vs. KOSPI Average Daily Trading Value of ELWs (in KRW 100 million) Source: KRX The ELW market is speculative and that only a limited number of investors make money from it; thus the FSS will
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