services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
Exchange” means the Stock Exchange of Thailand; “securities trading center” means the securities trading center under the law on securities and exchange; “Office” means the Office of the Securities and
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading