other persons from using their accounts to trade securities without their knowledge, and make sure that the documents of transaction confirmation are issued by the securities companies in charge. In

Securities (Thailand) Public Co.,Ltd., the SEC probe into the case and found that {A} made trading confirmation and informed the clients of receipt and payment. In addition, trading reports for a number of

ทรัพย์และบัญชีเงินลงทุนของลูกค้า (Customer Confirmation and Portfolio) ที่มีรายการไม่ครบถ้วนตามหลักเกณฑ์การจัดทำรายงานการส่งคำสั่งซื้อขายของลูกค้าเพื่อใช้แทนใบคำสั่งซื้อขาย (order ticket) จึงเป็นการไม่

กองทุนรวมในประเทศไทยสามารถใช้หลักฐานการซื้อ/ขายหน่วยของกองทุนต่างประเทศ (Confirmation for Subscription/Redemption) ที่บริษัทจัดการกองทุนต่างประเทศส่งกลับมาที่ธนาคารฯ เป็นหลักฐานการ

, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under

staffs, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator

guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification

this notification and its guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails

implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified

that can boost the implementation of the National Economic and Social Development Plan. The sectors are: Food & Beverages, Renewable Resources & Alternative Energy, Health Services, Transportation