-amended.pdf freshfield collected or processed pursuant to an authorization of such person or any place where documents, evidence or property of the special purpose juristic person are stored, during the hours

authorization of such person or any place where documents, evidence or property of the special purpose juristic person are stored, during the hours between sunrise and https://www.sec.or.th/EN/Documents

-amended.pdf freshfield collected or processed pursuant to an authorization of such person or any place where documents, evidence or property of the special purpose juristic person are stored, during the hours

authorization before beginning any other activity.The SEC therefore proposes to amend the rules governing the undertaking of other businesses according to the resolution of the Capital Market Supervisory Board

have a written authorization from investors only.__________________Notes:*  Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1

authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as

with them. Some even gave authorization for the companies? staff to submit trading orders on their behalf.The said actions were deemed as undertaking derivatives business without license in contravention

authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on

and ethic as well as deny any clients? authorization to trade securities or derivatives on their behalves."

member jurisdiction to offer CIS constituted and authorised in that jurisdiction ("ASEAN CIS") to retail investors in other member jurisdictions under a streamlined authorization process. The signatories