securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand so permits by virtue of law, the SEC Office hereby issues the following regulations: Clause 1 The Notification of the Office of the
Market Supervisory Board hereby issues the following regulations: Clause 1. In this Notification: The terms “institutional investor” and “high net worth investor” shall have the same meaning with such
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
virtue of the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Liquid Capital dated 2 May 2006, the Office of the
paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Liquid Capital dated 2 May 2006, the Office of the Securities and Exchange
Clause 3 of the Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Liquid Capital dated 2 May 2006, the Office of the Securities and Exchange Commission
Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 This Notification shall come into force as from 16