^10000&ps=2&mm=100&qf=title_th_default&fq=system_name%3A%22Laws%20%2F%20Regulations%22&start=0&rows=10 1 - 2 of 2 results Sort by: Relevance Date (Newest) Date (Oldest) Notification of Capital Market
outstanding balance in the derivatives account. In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re
(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment
derivatives 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 re: Approval for Personnel of Business Operators
client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
client of trading orders via telephone at the end of the trading day.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market
trading orders. In this regard, {A} and {B} actions were deemed the violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of
clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business
) Date (Oldest) Notification of Capital Market Supervisory Board TorJor. 47/2558 Regulations on Offer for Sale of Securities through Electronic System or Network (No. 2) http://capital.sec.or.th/webapp/nrs
such behavior for future reference.The above investment consultants' actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval