that are created, sent , received, stored or processed through electronic procedures https://publish.sec.or.th/nrs/3808pe_r.pdf ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ derivatives fund managers

the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting https://publish.sec.or.th/nrs

substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form

indicating that {A} sent trading orders and afterwards informed his client's authorized person. Such authorized person did not reject the transactions. From the record, in addition, {A} specified details of

have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

, regular review of documents and evidence on one?s own investment portfolios sent from the responsible intermediaries is another way to protect one?s own assets.? ______________________ *Clause 20(1) of

, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from

orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading

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. TorThor