and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
- ร่าง - (UNOFFICIAL TRANSLATION) Attachment to the SEC Office Notification No. Nor Por. 4/2561 List of the countries recognized by the SEC Office concerning supervisory measures on investment
;), shall be liable for STARK’s failure to prepare and submit the reviewed financial statements for Q1/2023 to the Stock Exchange of Thailand within the period specified in the notification of the Capital
for JKN’s failure to prepare and submit the reviewed financial statements for Q1/2024 through the transmission system within the period specified in the notification of the Capital Market Board, due to
failure to prepare and submit the audited financial statements for the year 2023 through the transmission system of the SEC Office within the period specified in the notification of Capital Market
audited financial statements for Q3/2020 and an interim management discussion and analysis (MD&A) for Q3/2020 within the period specified in the notification of the Capital Market Supervisory Board as a
Securities Companies and Derivatives Intermediaries in order that an intermediary shall comply with such Notification by reaching same standard in practice. Clause 2 An intermediary shall provide one fourth of
F8) not relevant to the method of trading order submission is in violation of Clause 20(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel