Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
ภาคผนวก 2 : การกำกับดูแลและบริหารจัดการด้านเทคโนโลยีสารสนเทศ (Information Technology Governance) (แนบท้ายประกาศที่ สธ. 38/2565)
ภาคผนวก 3 : การรักษาความมั่นคงปลอดภัยด้านเทคโนโลยีสารสนเทศ (Information Technology Security) (แนบท้ายประกาศที่ สธ. 38/2565)
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
Bangkok, July 31, 2014 ? The SEC ordered Richy Place 2002 Plc. (RICHY) to amend information in the registration statement concerning comparison of P/E ratios of the company and the industry to be
ใบสำคัญแสดงสิทธิอนุพันธ์ | ALIHEA41C2310A | ใบสำคัญแสดงสิทธิอนุพันธ์ในหุ้นสามัญของ บริษัท ALIBABA HEALTH INFORMATION TECHNOLOGY LIMITED (241) ออกโดย บริษัทหลักทรัพย์ เจพีมอร์แกน (ประเทศไทย) จำกัด