. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
Custody of Assets of Clients by Securities Companies
Custody of Assets of Clients by Licensed Derivatives Brokers
Custody of Assets of Clients by Securities Companies (No. 3)
Custody of Clients’ Assets by Securities Companies (No. 4)
Custody of Clients’ Assets by Securities Companies (Codified)
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and