To avoid disruption to economic activities as securities companies and derivatives business operators are key intermediaries for providing investment services to businesses and the public, the SEC
client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท
Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
and Exchange; “Stock Exchange” means the Stock Exchange of Thailand according to the Law on Securities and Exchange; “beneficial owner of derivatives traded by a client” means: (1) an owner or co-owner
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business
securities financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers