and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this Notification. Clause 9 In cases where it appears to the SEC Office that
Market Supervisory Board No. TorChor. 21/2551 Re: Rules on Connected Transactions and the Notification of the Board of Governors of the Stock Exchange of Thailand (the” SET”) Re: Disclosure of Information
international organization concerning capital market supervision is crucial and necessary. The regulations under this Notification set a standard for operation of derivatives exchanges so that their services are
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.* In
does not comply with this Notification or the guideline set by the derivatives broker according to this Notification or it appears that such trading is done in an inappropriate manner, the Office may
. In case it appears to the Office that the investment in securities or the trading in derivatives by any derivatives broker violates or does not comply with this Notification or the guideline set by the
or the trading in derivatives by any derivatives broker violates or does not comply with this Notification or the guideline set by the derivatives broker according to this Notification or it appears
necessary. The regulations under this Notification set a standard for operation of derivatives clearing houses so that their services are efficient, transparent, and examinable, in a bid to promote confidence