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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
specified by the SEC Office, accordingly, this Notification states the rules on sufficient disclosure of information in Clause 2 and the amount of units deemed to object the transaction in Clause 3 pertaining
. Investors should object to any trading activities that do not comply with their investment objectives and monitor regularly the ongoing record of their trading transactions sent to them by the responsible
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