diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in

SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to

SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to

underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of

members and ASCO members, comprising executives and representatives from 40 securities and derivatives companies.   At the meeting, both parties exchanged views on the securities business

Derivative Warrants | OR42C2107G | DERIVATIVE CALL WARRANTS ON PTT OIL AND RETAIL BUSINESS PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING

Derivative Warrants | OR42P2107G | DERIVATIVE PUT WARRANTS ON PTT OIL AND RETAIL BUSINESS PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING IN

Mr. Matthew Christensen Matthew Christensen operated derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and

S D Global S D Global operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under

Seandar Inc. Seandar Inc. (or Seandar) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to