a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
order form (Form F8) despite the fact that those trading orders were made via mobile phone. Use of Form F8 therefore was inappropriate submission of trading orders because such Form must be used in
Page 1 of 7 Form 35 – foreign ETF Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy
Holding Company investing in retail business such as mobile phone distribution and accessories, non-performing debt management, real estate development, hire purchase (associated company), personal loan
Content Cross-border offering of funds ASEAN Collective Investment Schemes (CIS) Asia Region Funds Passport (ARFP) Foreign Exchange-Traded Fund (Foreign ETF) Mutual Recognition of Funds between
the United States, including investors’ access to bitcoin investment through exchange traded funds and bitcoin custody under the supervision of US regulator. In Thailand, under the Emergency Decree on
for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 14/2558 Re: Provisions relating to Offer for Sale of Securities Issued by Foreign Company Whose Shares Have Been Traded
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List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to