irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
Proportion Bhirombhakdi Family 82.20 percent Ministry of Finance 5.30 percent TISCO Bank Public Company Limited 2.07 percent 6. Characteristics of the Interest of the Connected Person in the Transaction The
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
receivership, being an insolvent, an incompetent or a quasi-incompetent person; 3 (b) having been sentenced to imprisonment by the court’s final judgment as a result of guilty in market abuses of securities or
. 4,590,000 Sale Shares from the Seller. In this case, the Company is entitled to sell the first portion: i.e. 10,710,000 Sale Shares to the Seller and/or a person designated by the Seller at a price that the
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
) dated 14 December 2016. Clause 2 In this Notification: “derivatives Broker” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the