Securities and Exchange Act 2535 97 12/03/1992 16/05/1992 2. Circular SEC. Nor Por. (Wor) 30/2559 Submission of Daily Status Report 30/11/2016 30/11/2016 Contact The Securities and Exchange
/01/2017 3. Circular SEC. Nor Por. (Wor) 30/2559 Submission of Daily Status Report 30/11/2016 30/11/2016 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road
trading of derivative instruments on the Stock Exchange) ✓ ✓ ✓ Information on daily trading (T - 2 months) ✓ ✓ ✓ Information on daily trading of exchange brokers and dealers ✓ ✓ ✓ ✓ ✓ 1.2 Sources of
200,000 to 500,000 baht and a further daily fine not exceeding 10,000 baht for every day during which the contravention continues. The SEC has therefore filed the criminal complaint against {X1} with the
of unlicensed digital asset exchange is liable to an imprisonment term from two to five years, and a fine from 200,000 to 500,000 baht and a daily fine not exceeding 10,000 baht throughout the
with complex instruments before selling them such instrument? said SEC Secretary-General Thirachai Phuvanatnaranubala. --------------------------------------------*On a daily basis, LBDU licensees must
.(Wor) 25/2552 dated August 10, 2009. The customer trading order report qualified to be used in substitution for order ticket must be in form of computer printout and signed by the customer on a daily
required to set up an efficient complaint handling system in support of daily operation. Concurrently, the SEC employs a risk based approach to scheduled and/or random inspection as well as case-by-case