Notifications prescribing addition rules on such matter for the securities companies; or (3) short sale as a consequence of duties arising from obligations under categories or characteristics prescribed by
characteristics prescribed by Notification of the Office. Clause 4. In a short sale of securities pursuant to the customer’s order which is not an institutional customer, the securities company shall proceed as
enhance suitability for the characteristics of digital assets and types of associated risks On 15 August 2023, the SEC Board Meeting No. 13/2566 passed a resolution approving the principles for amending the
Digital Asset Business Law to enhance suitability for the characteristics of digital assets and types of associated risks On 15 August 2023, the SEC Board Meeting No. 13/2566 passed a resolution approving
/ActandRoyalEnactment/Act/act-sea1999-no2.pdf (Translation) of qualifications or possession of prohibited characteristics under Section 21; (5) 4 termination by the Cabinet’s resolution upon recommendation of the SEC, as
-DERI.pdf DRAFT director of the derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2) removal by the SEC due to gross incompetent
derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2) removal by the SEC due to gross incompetent in the https://www.sec.or.th/EN