), Section 72 and Section 81 of the Securities and Exchange Act B.E. 2535 (1992), and Clause 11 of the Notification of the Capital Market Supervisory Board No. Tor Jor. 4/2561 Re: Provisions relating to
=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field https://secsearch.sec.or.th/?search=electronic%20possession Notification of Capital Market Supervisory Board
, regardless of the client's permission. In this regard, the aforesaid {B}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval
undertake any responsibility for its accuracy, nor be held liable for any loss or damage arising from or related to its use. PAGE 2 Notification of the Capital Market Supervisory Board No. TorThor. 70/2552 Re
Notification of the Capital Market Supervisory Board*. Accordingly, the SEC has revoked her approval as an investment consultant for Complex Products Type 2** for a period of 10 years. However, as Miss
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
Unofficial Translation Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market
e-service Online Submission Securities Borrowing and Lending >> Type Title Section See document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board 23/2556
e-service Online Submission Securities Brokerage Business >> Type Title Section See document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board 49/2552 03
notify his client of some transactions.Making securities 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