.? _________________________ *The Notifications of the Capital Market Supervisory Board regarding Rules on Capital Market Personnel relevant to these cases are: (a) Panita violated Clause 20(1) and Clause 20(2) of the
substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
trading orders were submitted via LINE.Failure to keep complete record of the securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of
Clause 14(2) of the SEC Office Notification No. SorKhor.49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 and Clause 20(2) of the Notification of Capital Market
rules were deemed as a violation of Clause 14(2) of the SEC Office Notification No. SorKhor.49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 and Clause 20(2) of
regulations: Clause 1 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
regulations: Clause 1 In this Notification: “regulatory sandbox” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to capital
No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546 (2003
virtue of Section 6 of the Derivatives Act (No.2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. The following provision shall be added as Clause 2/1 of the Notification of the