express their comments at the website or send comments to facsimile number 0-2033-9999 or e-mail nattasasi@sec.or.th or rangrong@sec.or.th until 21 September 2018
are not the SET members will be allowed to send trading orders through the SET ?s trading system in cases where such system is linked with others, such as that of foreign exchanges. Also included in
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
person in charge of mutual funds? investment and might learn of the funds? investment information as well as those having duty to send trading orders. The business operator must seek the SEC approval for
to expand or advance projects related to digital assets, supporting the role of digital assets as a key driver in moving the country toward a digital economy. Additionally, Mr. Anek addressed SEC’s
the impacts of these temporary measures, as well as the overall situation moving forward.”__________________
products which are not listed on the https://publish.sec.or.th/nrs/6611pe.doc 6611pe_r.pdf only at the intermediary’s temporary office; (b) require clients to send trading orders by themselves through an
send an email to sawarin@sec.or.th. For paper comments, please send them to: The Intermediaries Policy Department, the Securities and https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8149 SEC
through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading