license with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) for further legal proceedings. With reference to clues and the SEC?s findings, the three aforesaid individuals
Bangkok, February 10, 2016 ? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against Global Consultant Co., Ltd. and Neil
Bangkok, February 20, 2013 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against three unlicensed derivatives business operators, namely
person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of the Act. The SEC
asset ” means an asset deemed to be owned by a client as https://publish.sec.or.th/nrs/6121pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent
Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange
Printable Format - Laws and Regulations Derivatives Dealer |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS
information in each section of the prospectus under Clause 5 shall be as follows: (1) Fact sheet containing the particulars and information in accordance with Chapter 1 Division 1, and Chapter 3 Division 6; (2
/6121pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if appropriate, promulgate