for her own benefit. However, she failed to submit a report on the change in her securities holding (Form 59) in such account to the SEC Office within the period specified under the Notification of the
be liable under Section 300 in conjunction with Section 46 of the Securities and Exchange Act SEC Act S.300 in conjunction with 46 Settlement Committee Meeting No. 3/2026 Settlement Committee Order
bank accounts used to deposit customer cash were under the company's name without the word “for customer”. Accordingly, it was not clearly indicated that the accounts are held by the company for the
under the law on securities and exchange . “ foreign ETF ” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “ short
Securities Company dated 3 August 2009 shall be repealed. Clause 2 In this Notification: “ETF” means ETMF or foreign ETF. “ETMF” means exchange-traded fund in form of mutual fund under the law on securities
ETF. “ETMF” means exchange-traded fund in form of mutual fund under the law on securities and exchange1. “foreign ETF” means a collective investment scheme in the category of exchange-traded fund either
Thailand; (m) international financial institutions; (n) juristic persons established under specific laws; (o) government agencies or state enterprises under the law on budget procedures ; (p) Financial
) international financial institutions; (n) juristic persons established under specific laws; (o) government agencies or state enterprises under the law on budget procedures 1 ; (p) Financial Institutions
appears in the SEC’s approved list; “related person” means a related person under the Notification of the Capital Market Supervisory Board concerning the Rules on Related Party Transactions; “Stock Exchange