criminal complaint with the Economic Crime Suppression Division against {A} and {B} and the parties involved on account of being co-principals in operating derivatives business without approval. Due to
units of mutual funds with investment in derivatives, hybrid securities, and structured notes. ***Saowarat’s application for obtaining SEC approval to be personnel in the capital market business during
require that issuers of any type of debt securities use the same standardized factsheet form which accommodates product type-specific disclosure, for example, plain debentures, structured notes, securitized
under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
sessions, either in the morning or afternoon. ** Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the
business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the
Authorized Director of Digital Asset Business Operator
Manager of Digital Asset Business Operator
Approval for Undertaking of Derivatives Business