shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities https://publish.sec.or.th/nrs/65se.pdf ประกาศคณะกรรมการกำกับหลักทรัพย์และ
filing system only , print out the completed form, affix the authorized signature and submit the https://publish.sec.or.th/nrs/5391pe.doc Translation securities company (No. 2) dated 25 May 2004. Clause 2
Commission which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the derivatives fund manager
Related to Mutual Fund and Private Fund Management dated 29 November 2000 shall be repealed. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Specified property fund https
(2018). Under the proposal, the qualifications or prohibited characteristics of digital asset business license applicants, their directors and major shareholders under Clause 3* (10), (11), and (12) (b
The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as
have a written authorization from investors only.__________________Notes:* Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1
market business personnel for 10 years, starting from 10 February 2018. ___________________ *Violation of Clause 23(1) and possessing the prohibited characteristics of capital market business personnel