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
Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if appropriate, promulgate the notification https://www.sec.or.th/EN/Documents
Limited (IFEC), with the Economic Crime Suppression Division of the Royal Thai Police (ECD) for committing dishonest acts to gain unfair advantage for himself or other persons. During the month of December