audio recording systems for such purpose and strictly comply with relevant regulations. Those failing to record or provide the complete record of their securities trading orders, especially those under

, breaching the regulations of the Stock Exchange of Thailand and consequently being imposed upon by the organization?s punitive orders. Efficient internal control and stringent compliance units of

Printable Format - Laws and Regulations Securities Brokerage Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating

Printable Format - Laws and Regulations Securities Underwriter Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating

Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major

routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading

orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account

introducing agents, as deemed appropriate.  In accommodating those business undertakings, the SEC is in the process of drafting the regulations governing licensing of limited derivatives agents and appointment

of transactions as per clients’ orders under (3).The SEC emphasizes the importance of monitoring financial condition and liquidity of business operators to make sure that they comply with the

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