and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 3. Notification of the Office of the Securities and Exchange Commission 12/2542 (Synopsis) 05/10/1999 4
executive in a securities issuing company or a securities company, as summarized below: (1) Atthavut shall pay a civil penalty, a compensation at an equal amount to the benefit received or
, reimbursement of investigative expenses incurred by the SEC, suspension of trading in securities or derivatives contracts, and bar from serving as a director or executive in a securities issuing company or a
TorThor/Nor/Khor. 26/2551 Rules, Conditions and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 9. Notification of the Office of the Securities and Exchange Commission
procedures; “ derivatives business operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports with the SEC Office. Clause 2 A derivatives business operator
derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures
) That is clearly aimed at profit or cost-sharing or shares common ownership , control or management, common quality control policies and procedures, common https://publish.sec.or.th/nrs/6561p.doc หนังสือ