notifications that contain overlapping regulations with other notifications** and do not keep pace with changing situations. They are (1) the Notification of the Office of the Securities and Exchange Commission
the performance of derivatives contract when a derivative position is initiated. “Maintenance margin” means the minimum amount of asset a customer must maintain as long as the derivatives position is
investigative expenses. Regarding auditor oversight, the SEC will keep the record of the misconduct of Warot, Jeeranan and Jeeraporn for 10 years for future consideration if the three offenders apply for approval
maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner that can be promptly
securities trading and maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
review of the existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to living or occupations will be abolished