, Section 41, Section 43, and Section 45 of the Constitution of the Kingdom of Thailand so permits by virtue of law, the Securities and Exchange Commission acting as the Capital Market Supervisory Board by
%B4%E0%B8%99%E0%B8%97%E0%B8%A3%E0%B8%B1%E0%B8%9E%... DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market
/enactment-digitalasset2018.pd... DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if
characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities
. Q: Pursuant to Section 89/15 and Section 89/17, is it allowed to keep important documents in the electronic system only to save paper and storage space? Otherwise, are both the originals and copies
accounts to the point where the normal market condition became affected during 9 January - 28 February 2013. Prasian, Sirikorn, Somchai and Somchit allowed the co-principals to use their trading accounts for
Pursuant to Section 89/25 of the SEA, the auditor has the duty to report suspicious circumstances that were found from the audit in accordance with the auditing standards. SEC therefore proposes
reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional