. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers dated 3 August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker dated 22 December 2004
virtue of: (1) The first paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives
company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal
Miss Keswarang Sawatdipan Miss Keswarang Sawatdipan dishonestly deceived the investors by asserting false statements to make invetors believe that she was licensed to operate a derivatives business
KRUNGTHAI XSPRING SECURITIES COMPANY LIMITED Between July 1 , 2021 to June 30, 2024, KRUNGTHAI XSPRING SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the
licensed to undertake Type C securities business and a person licensed to undertake Type D securities business is eligible to undertake securities business relating to such share. For the purpose of the