purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office shall request your consent. In this regard, the SEC Office
Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting
company shall be authorized to terminate the agreement on the appointment of the fund supervisor; (5) provision that in the case that the management company fails to request the unitholders’ resolution for
The SEC’s instruction followed the latest developments within IFEC organization, namely the resolution of IFEC Extraordinary Shareholders’ Meeting No. 1/2561, appointing new directors to fill in the
decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
relation to EARTH’s securities, knowing that EARTH would be faced with a liquidity problem and its request to extend debt repayment period was denied by a financial institution. The stated 11 persons
is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall