possession , or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept https://publish.sec.or.th/nrs/200pe_r.pdf FS_PAGE_0446_E_2017
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of derivatives
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
transactions according to the order of the account owner or the authorized person. Moreover, he made up evidence to camouflage that the person who ordered the trading transactions was the account owner to
; (2) a person identified by a management company as a connected person in accordance with the nature of conflicts of interest which the management company is required to specify under Clause 18 (1) of
the appendix attached herein; (2) a person identified by a management company as a connected person in accordance with the nature of conflicts of interest which the management company is required to
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work