that only the original Thai text has legal force and that this English trans submit information and documents evidence as per the form and procedures provided in the Office’s electronic work system, and
. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and https://publish.sec.or.th/nrs/5644pe.doc
evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9 https
giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the https://publish.sec.or.th/nrs/5776pe.doc Section 4 instruments or evidence
authorization of such person or any place where documents, evidence or property of the special purpose juristic person are stored, during the hours between sunrise and https://www.sec.or.th/EN/Documents
/ActandRoyalEnactment/Act/translate-deri.doc Section 4 instruments or evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates
Following a referral from the Stock Exchange of Thailand (SET) in 2022 and the SEC’s further investigation, the findings and evidence led to the belief that Mr. Saravoot Somwattana (a person with
for their own interest or other persons’, causing damage to AJD. In the case of AJD price manipulation,* the SEC has found facts and evidence that during the month of June 2014, Amorn (at the time