that the SEC has the power to suspend, revise or order business operators to explain in case any advertisement is inconsistent with the specified rules. The notifications on the said rules have been
the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
Notification of the Securities and Exchange Commission No. KorJor. 3/2557 Re: Rules on Units of Foreign Collective Investment Scheme Exempted from the Provisions of Public Offering for Sale of
trade securities in the client's account without permission in order to achieve better performance. {A}'s actions are in violation of Clause 20(1) and 20(2) of the Notification of Capital Market
, Thailand cannot 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 Securities and Exchange Commission No. KorDor
responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. KorDor 29/2540 Re: Rules, Conditions and