companies. As shareholders? meeting and company directors? roles and duties are stipulated in the Public Limited Company Act under the supervision of the DBD, the SEC has closely coordinated with the DBD to
any person as a co-advertising producer, such person must be subject to supervision to comply with the relevant rules. On sales promotions, it must not persuade or urge investors to make investment
to improve their supervision and surveillance capabilities. This training will ensure the Thai market remains even with international counterparts; with a primary goal of preventing negative impact on
at www.sec.or.th and via SEC Check First application, while a list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website via https
, for example, efficient records of conversations while providing advice and accepting trading orders which prevents eliminating, adding, editing or changing of the content of the conversations, etc.; (3
securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of
juristic person or business in which the person has power of management or the operators under his supervision from any act or omission of act which violates or is in contrary to the law governing securities
documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and