account to trade securities for the benefit of themselves or others. {H}'s action was deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and giving
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Securities and Exchange
. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of
or omit any other action as prescribed by the SEC Office to ensure that the intermedairy will be able to regain the maintenance of capital in accordance with the Notification concerning Maintenance of
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Office of the
reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment