May 2004. Clause 2. In this Notification, “ electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities https://publish.sec.or.th/nrs
? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from
facsimile transmission, electronic mail or any other means according to the recipient’s intention. In this regard, record of notification shall be made and written notification shall be sent to the recipient
13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
Microsoft Word - SorChor 36-2546 - edited.doc (Translation) The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorChor. 36
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. KorNor. 23/2544 Re: Rules, Conditions and
Asset Business Law), the SEC sent a letter to Zipmex ordering https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10527 SEC public warning of unapproved digital asset offering Bangkok, 25 January 2019
, of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) ( Digital Asset Business Law), the SEC sent a letter to Zipmex ordering https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10527