records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send
in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557. The SEC therefore suspended {A} from his duty as the approved capital
) For listed companies and securities issuers having duty to submit reports such as financial statements to the SEC, if unable to do so under current circumstances, the SEC will consider easing relevant
notifications issued thereunder. Clause 21 The stipulation on the disclosure of information of the trust shall be furnished with the trust manager’s duty and responsibility to prepare and disclose such
arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the notification of the SEC Office. A
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange
SEC, Thailand can neither undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. The Notification of the Capital Market Supervisory