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
operation or any other proceeding in a manner that reflects the role in the operation of such business. “venture capital” means a juristic person established under Thai or foreign law with the objective of
Securities and Exchange Act B.E. 2535 (1992) (SEA) had imposed a fine on Lalana in the amount of 36,815,524.26 baht for manipulative trading by colluding with others in providing and using other persons
for the company in Hong Kong SAR, who provides services of gold futures contracts trading. The company has managed to have marketing officers to call and solicit investors to invest and sent out the
person to be the manager of the fund and the assets generated from the fund; (3) having an investment policy whereby investment in a business is made through entering into an agreement for investment in
shares of PTL in PAPL’s securities trading account between April 1, 2016 - May 4, 2016 in such a way as to take advantage of other persons through the assistance of Mrs. Supritha Pai Kasturi, PTL’s Senior
Mr. Jaray Chanchaisilp Mr. Jaray Chanchaisilp, director of Silver Line Trading Intertrade Co., Ltd. and Diamond and Silverline Group Co., Ltd., operated derivatives business without license or
; (2) a person identified by a management company as a connected person in accordance with the nature of conflicts of interest which the management company is required to specify under Clause 18 (1) of
the appendix attached herein; (2) a person identified by a management company as a connected person in accordance with the nature of conflicts of interest which the management company is required to
; “ investment analyst ”9 means a person giving investment consultation to investors and eligible to analyze investment related to the value or appropriateness for trading or investing in capital market products