shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing

person shall have the following characteristics: (1) in case of being an employee of management company, the position held shall not cause any conflicts of interest with management of fund and shall not

following line of work, as the case may be: (a) a line of work relating to trustee services, trustee operation, compliance function of trustee services or other similar lines of work; (b) a line of work

” means a director of a derivatives exchange or a derivatives clearing house, as the case may be; (4) “board of directors” means the board of directors of a derivatives exchange or a derivatives clearing

of Section 133 of the SEA. Additionally, in the case of Praphol, he failed to report the acquisition or disposal of FVC shares that triggered the five-percent threshold of the total voting rights, thus

case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are

consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and

intermediary shall comply with those standards as well. In case the association specifies the guideline, having obtained an approval from the SEC Office, regarding operational standards of intermediary ’s

HRC Average Selling Price (Bht./Ton) 18,108 15,709 HRC Cash Margin (Bht./Ton) 1,223 1,334 Unit: million Baht 3rd Quarter 2017 Year-end 2016 Fin an ce S ta tu s Total Assets 31,907 32,615 Total

market product s including [existing] clients of an intermediary . “ institutional investor ” means an institutional investor as specified in the Notification of the Securities and Exchange Commission