Saroj submitted securities trading orders before notifying a client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. Acting Sub-lieutenant Saroj
client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or
loss of damages arising from or related to its use. ------------------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange
protection. The SEC conducted a public hearing on the proposed principles and draft amendments to the relevant regulations in June 2024. Most respondents agreed with the proposal. The SEC has therefore issued
damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor/Nor. 10/2552 Re: Rules, Conditions and Procedures
damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor/Nor. 7/2551 Re: Rules, Conditions and Procedures
. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor/Nor. 10/2552 Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and
any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor/Nor. 10/2552 Re: Rules, Conditions
. Most respondents agreed with the proposed amendments. The SEC has therefore issued two notifications of the amended regulations which contain the key provisions as follows: (1) Disclosure