appointed by the Minister to execute the duties in accordance with this Emergency Decree. “Minister” means the Minister in charge of the enforcement of this Emergency Decree. Section 4. The Minister of
exchange. “ SEC Office ” means the Office of the Securities and Exchange Commission under the law governing securities and exchange. “ competent officer ” means a person appointed by the Minister to execute
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake
misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading transactions according to the order of the account owner or the authorized person. Moreover, he
account owner. Meanwhile, Patcharee took trading orders from an unthorized person. Nattapon?s misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading
decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the audit of the financial statements for Q3/2016 on the basis of (1
without any objection. Meanwhile, in the latter period, he sought approval from the clients on the broad pre-determined price ranges of derivatives and securities. Accordingly, he could immediately execute
Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
2016.In any case, investors should not disclose their usernames and passwords for investment consultants to execute trading orders on their behalf. Similarly, investment consultants must not seek
) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading