units by means of purchasing such units from foreign exchange for making delivery; (2) in case of short selling for client’s account: (a) the client shall demonstrate that it has [i] the enabling asset to

Notification and the rules as prescribed by the Stock Exchange of Thailand. Clause 5 A securities company may engage in short selling of ETF units or underlying shares of ETF for either its proprietary account

, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. KorDor

responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. KorDor 29/2540 Re: Rules, Conditions and

. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange

, supervisory guidelines for bills of exchange and extension of regulation on net liquid capital rule on business operators of brokerage, dealing and underwriting of investment units (LBDU) as follows:  1. Bill

respective fine of B5,363,120.64, B1,296,010.44, B3,723,416.40 and B333,333.33 on Paiboon, Pongsachalerm, Chaiwat, and Patara.Following the referral from the Stock Exchange of Thailand (SET), the SEC

333,333.33 baht for aiding and abetting in the aforesaid insider trading.  According to a referral from the Stock Exchange of Thailand (SET) and the SEC?s own investigation, the aforesaid individuals from (1

opening an account and entering into the agreement which appoint the securities company as the 19As added by the Notification of the Securities and Exchange Commission No. Kor Khor.48/2547 Re: Rules

. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of