notification which has been revised according to comments from the business operators and related persons from the public hearing in May, for example:  - The operation system shall have in place a client

procedures as specified in the notification. In this regard, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the

Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and

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 Board No. TorDor. 95/2552 Re: Rules

time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client

) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A

the time of the misconduct from 2015 to 2017 holding the positions of director and executive of NMG – made a joint decision to approve, order and arrange a recording of false advertising income in the

translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553   Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers            By

translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By virtue of