obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Exchange Act 2535 92 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board TorThor 31/2556 Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices
decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
applicant and group of parent company. {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1
the derivatives broker is a securities company which has obtained an approval from the Office to make a derivatives trading for their own account according to the notification governing derivatives
. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the
neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory
responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorMor. 15 /2555 Re