has issued the amended regulations with the key points as follows: (1) Revising the reporting scope for business operators to require submission of data or documents on a necessary basis and
securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators
had not been sufficient. This caused the client about 3,000,000 Baht in damage. In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market
securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of
Thailand specified the restrictions shall be imposed by virtue of the law ,along with Clause 1 of the Notification of the Securities and Exchange Commission Re: Rules and time for submitting securities
the Constitution of the Kingdom of Thailand specified the restrictions shall be imposed by virtue of the law ,along with Clause 1 of the Notification of the Securities and Exchange Commission Re: Rules
e-service Online Submission Private Fund >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorNor. 22/2552
and Section 34(2) of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this notification hereto: (1) “derivatives broker
) of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this notification hereto: (1) “derivatives broker” means any person