hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the tables
derivatives trading account in order to continue trading. She later made a summary trading report under the client’s account and sent it to the client for acknowledgement. In so doing, she concealed the trading
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
resolution in order to amend the mutual fund scheme, the following particulars should be included: 5.1 A manual or a checklist used to determine whether a change or an amendment to the mutual fund scheme
in the registration statement and draft prospectus under Part 4, the SEC Office is empowered to order an offeror to proceed the following actions within the specified period in case it is necessary and
(2003) , the SEC hereby issues this Notification with details as follows: Clause 1 The following notifications shall be repealed: (1) Notification of the Securities and Exchange Commission No. Kor Thor
(2003), the SEC hereby issues this Notification with details as follows: Clause 1 The following notifications shall be repealed: (1) Notification of the Securities and Exchange Commission No. Kor Thor. 66
the Securities and Exchange Act (No. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 This Notification shall come into force as from 31 March 2009. Clause 2 In this Notification