: Holidays of Securities Companies and Derivatives Business Operators for the year 2020 dated 7 August 2019, to be in accordance with the resolution of the Cabinet by cancelling the holidays of securities
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
the SEC Office no less than thirty days before terminating the services or before the expiration date in accordance with the procedures and methods specified in the Licensing Manual for the Public. (2
the SEC Office no less than thirty days before terminating the services or before the expiration date in accordance with the procedures and methods specified in the Licensing Manual for the Public; (2
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
less than thirty days before terminating the operation or before the expiration date in accordance with the procedures and methods specified in the Licensing Manual for the Public; (2) revocation of
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the
service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or suspending performance [under such contract]; (4
, conditions and procedures for terminating the contract or suspending operation [under such contract]; (4) remuneration and charged expenses. In the case where the service provider subcontracts the outsourced