Determination of Definitions in Notifications relating to Issuance and Offer for Sale of Debt Securities

trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital

orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market

the period of three months, approximately. There was, however, no record of the client?s registration for the internet trading at the branch during such period. Atthapol admitted to Krungsri Securities

the company issuing the securities sold in the above transaction. Failure to conduct KYC/CDD process to verify and record the beneficial owner's identity, despite learning of such identity, was in

failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory

Determination of Definitions in Notifications Relating to Issuance and Offer for Sale of Debt Securities (No. 2)

Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary

The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators

The Repeal of Notifications related to Operation of Securities Clearing House, Central Securities Depository, Derivatives Exchange and Derivatives Clearing House