. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of
and Exchange Commission No. KorKhor. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of
} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client
suitable to the business at that time by presenting that transactions in financial statements exist, complete, correctly show the rights or obligations of the company, have the right value as well as
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th
authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as
Sort by: Relevance Date (Newest) Date (Oldest) DRAFT , crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable