of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC

must make a prior agreement with the clients the asset allocation or the investment planning services and parameters set in advance which are based on house view. In addition, the intermediaries must

Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale

2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such companies while the clients’ draft financial statements were being recorded into the EY

Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives

. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives

Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013 , in conjunction with Clause 12(2) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re

, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, in conjunction with Clause 12(2) of the Notification of Capital Market

5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of

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