-line” โดยบริษัทท่านสามารถเปิดดูแนวทางดังกล่าวจาก web siteของสำนักงาน (http://www.sec.or.th/) ภายใต้หัวข้อ “ธุรกิจหลักทรัพย์”

์ (Electronic Information Submission Management System) https://web-ef.sec.or.th https://web-ef.sec.or.th/ ระบบแจง้แตง่ต ัง้ฯ : แบบฟอรม์ทีเ่ก ีย่วขอ้ง แบบแจง้แตง่ต ัง้/เพกิถอน ผูบ้รหิารบัญชผีูใ้ชง้าน (account

, agencies, companies or related parties. When such fraudulent schemes are found, suggestions for deterrence actions to be taken include issuing investor warnings through the organization’s web site(s) and

” means derivatives exchange licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6) “customer contact person for

licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6) 1 “customer contact person for derivatives agent” means the

licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6)1 “customer contact person for derivatives agent” means the

areas such as customer-asset custody and Know Your Customer (KYC) / Customer Due Diligence (CDD) criteria, etc. These efforts will keep an appropriate balance between development and supervision in the

The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that

have revealed that he confirmed with a customer that the RMF units the customer had bought in 2011 were redeemable without breaching the terms and conditions of the tax benefits. However, the actual

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