aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
details for implementation by the personnel or person assigned to operate the business; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the event of
business for four years and eight months, starting from 12 January 2021.In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s
Business Quarter 4/2024 5 Approval of independent professionals Quarter 4/2024 6 Number of active personnel in securities and derivatives businesses 2024 Service Licensed / Registered Person Search for
professional in accounting, finance, business administration, economics or law; Clause 2. The person with power of management of the derivatives business operator must obtain approval from the SEC Office. Clause
(Company Name) The Business C (Company Name) D (Company Name) E (Company Name) 8 1 “Person in the same group” means (1) Party acting in concert with the reporting person (2) Person under Section 258 of the
variables as prescribed by the Office; (4) “ applicant ” means a person applying for derivatives business license under this Notification; (5) “ commercial bank ” means any commercial bank in accordance with