the result of the deliberation of the application within forty-five days as from the date of receiving the clarification of the issues and observation derived from the review of the facts. In the case
Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities (4794) 03/08/2009 01/09/2009 Circular SEC. Nor Phor. (Wor) 27/2558 Clarification on Short Selling and
client’s derivatives trading is inappropriate or may contravene the Law on Derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or
clarification under subclause (1), or provides false or materially misleading information. Clause 14 In case of providing services to a non-institutional investor, before opening a derivatives trading account or
Ref. DBP. 099 / 2017 August 15, 2017 Subject : Clarification on
Ref. DBP. 141 / 2017 November 13, 2017 Subject : Clarification on Operating Results for the 3-Month Period and 9-Month Period ending September 30, 2017 To : President The Stock Exchange of Thailand
Appointment of Investment Advisory Agents (No. 3), dated 3 December 2003. (Translation) -7- periodically as prescribed by the Office. In this regard, the Office may request for an explanation or clarification
ที่ กตพ Ref. DBP. 108 / 2019 August 13, 2019 Subject : Clarification on Operating Results for the 2nd quarter and 6-month Period ending June 30, 2019 To : President The Stock Exchange of Thailand
Ref. DBP. 153 / 2019 November 11, 2019 Subject : Clarification on Operating Results for the 3rd quarter and 9-month Period ending September 30, 2019 To : President The Stock Exchange of Thailand