settling the assets with outstanding obligations to the following third parties: (a) a person related to the transactions of derivatives trading or securities trading of the client, in which case the
providing trading service. Clause 9. In case where person responsible for undertaking of foreign collective investment scheme fails to comply with agreement made with securities company under Clause 6
been disclosed to the public and she has access by virtue of her office or position. Mrs. Supritha sends orders to buy 7,940,100 shares of PTL in Polyplex (Asia) Pte. Ltd. (“PAPL”)’s securities trading
regulations. Clause 5 An approved person for the operation under a regulatory sandbox in the same manner as a derivatives exchange shall arrange an efficient and fair trading system which shall additionally
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
fund or private fund management, or derivatives investment management company. “fund” means mutual fund and private fund. “investor” means any person interested in investing in capital market products
) ................................................................................................................................................................ 2. Type of the Applicant: Juristic person established under Thai Law Limited company Public limited company Stock Exchange of Thailand Over-the-counter trading center Association related
disclosure statement for futures trading, the SEC Office hereby issues the following notification; Clause 1. In this Notification, “derivatives broker” means a juristic person licensed to undertake derivatives
trading, the SEC Office hereby issues the following notification; Clause 1. In this Notification, “derivatives broker” means a juristic person licensed to undertake derivatives business operation in the