Office of the Securities and Exchange Commission SorThor. 41/2543 Re: Approval for the Execution of Derivatives Transaction Outside the Stock Exchange of Thailand 08/09/2000 26/09/2000 6. Report/Form
for filing a lawsuit to a civil court currently under the process of legal execution SEC Act (the fifth amendment) Section 281/2 para.1 in conjunction with 89/7 Civil Action Dated 28/12/2018
business operators and investors. This is because minors’ execution of legal acts is subject to several provisions of the governing Civil and Commercial Code. As a result, minors may be exposed to a risk
the execution of electronic transactions which would be deemed as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription
demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised not to give passbooks and signed withdrawal slips to investment consultants to facilitate execution
such service be considered as a part of the portfolio advisory with execution or standing order, as the case may be.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
execution of the scheme.Their actions were in violation of Sections 243 (1), (2) in conjunction with Section 244 of the Securities and Exchange Act B.E. 2535 (1992) and Sections 83 and 86 of the Penal Code