strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 50/2559 Re. Report Forms of Securities Business Operators and Derivatives Business Operators
Notification is that the Derivatives Act (No. 2) B.E. 2551 (2008) stipulates that the granting of approval of the rules concerning derivatives exchange and derivatives clearing house shall be the power of the
advertisements and prepare monthly report on advertising oversight for board of directors’ approval. The monthly reports are then compiled and submitted to the SEC on a quarterly basis; (3) Clarifying clearly
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
No. Tor Lor Thor. 8/2557, as amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560. SEC therefore ordered the approval of all three investment consultants on
securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators
had not been sufficient. This caused the client about 3,000,000 Baht in damage. In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market
neither undertake 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
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________