credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such

the capital market. The project will raise awareness and understanding among local business owners about raising funds through the capital market which will support business expansion, increase in

Bangkok, May 25, 2016 ? The SEC will hold a public seminar titled, ?FinTech Forum: FinTech Data Analytics? to capture the growing financial business trends and technologies particularly in the area

products denominated foreign currencies. The revised regulations will allow business operators to provide services in foreign currency denominated products as permitted under their licenses.  In addition

Derivatives Act B.E.2546 (2003). In addition, WSD Financial (NZ) Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact it had been registered with the SEC as derivatives dealer

granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, WSD International (Thailand) Co., Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact WSD

Navista Global Markets Ltd. Navista Global Markets Ltd. (Navista) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The

GISP Ltd. GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public

Mr. Saiphet Thongngao Mr. Saiphet Thongngao colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The

Miss Sureerat Ardpaksa Miss Sureerat Ardpaksa colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The