on 23 August 2018. **According to Clause 3 (2), Clause 5 (2) and Clause 6 (2) of the Notification of the Securities and Exchange Commission No. Kor. Jor. 3/2560 Re: Determination of Untrustworthy
further appropriate action can be taken in time.? ______________________________ *Failure to perform duties honestly under Clause 23(1) and failure to perform duties
prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No.TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of
and Investment Consultant dated January 18, 2012; classified as prohibited characteristics of personnel in capital market according to Clause 6(1) and (2) of the of the Notification of Capital Market
violation of Clause 23(1) and (2) of No. TorLorThor. 8/2557 dated June 3, 2014. The violation of Clause 23(1) and (2) in conjunction with participating in dishonest conducts were prohibited characteristics of
__________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: (1)3
__________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: (1)3
Section 49 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: (1)3 “derivatives broker” means a person
regulations: Clause 1 The following Notifications shall be repealed: (1) Notification of the Securities and Exchange Commission No. KorThor. 37/2540 Re: Maintenance of Net Capital dated 15 October 1997 ; (2
regulations: Clause 1 The following Notifications shall be repealed: (1) Notification of the Securities and Exchange Commission No. KorThor. 37/2540 Re: Maintenance of Net Capital dated 15 October 1997; (2