in any material aspects or concealing material facts which should be declared in the application for an approval to act as a mutual fund manager; (16) Intentionally neglecting to take action in
securities in Thai Baht. Clause 5 A foreign entity intending to offer for sale of the debt securities may submit information or documents to the SEC Office in either Thai or English. If the information or
information, which restricts access to such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
electronic form through the data transmission system as specified on the website of the SEC Office; (4) the information that the offeror files with the SEC Office, both in the hardcopy and electronic forms
; “inside information” means the significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities company has acquired during the course of
other than an institutional client; “inside information” means the significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities
the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in such a way as to
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