notify his client of some transactions.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555

are allowed to outsource without seeking for the SEC approval; they simply need to notify the SEC in advance, if the outsourcees are as follows;  (i) a financial institution, (ii) a subsidiary of the

, while the list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website: https://market.sec.or.th/public/idisc/th/InvestorAlert. To notify

electronic work system of the Office. The Office shall notify the securities company of the result of consideration of the application within thirty days from the date in which the Office receives the

electronic work system of the Office. The Office shall notify the securities company of the result of consideration of the application within thirty days from the date in which the Office receives the

application to the Office, together with documents and evidence as per the forms and procedures provided in the electronic work system of the Office. The Office shall notify the securities company of the result

, the securities company shall notify the SEC Office in writing of such change of position or power of management of the said person in accordance with the form and procedure provided on the website of

consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system

notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system inspection

the Securities and Exchange Commission shall consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and