derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling

securities business” means: (1) a person who assumes a job for the benefits of a securities company or in connection with securities business in a position or a nature of work related to securities trading

investor contact of Asia Plus Securities Plc., is suspended for six months after findings indicated that he had traded securities in a client's account for another person for more than a year by taking

of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3

of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling precious metal in Thailand; (3

person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts and five other persons who who agreed to enter the settlement, to trade shares of Union Petrochemical Public

) ................................................................................................................................................................ 2. Type of the Applicant:  Juristic person established under Thai Law  Limited company  Public limited company  Stock Exchange of Thailand  Over-the-counter trading center  Association related

: investglobalmanagement.com show messages soliciting foreigners in Thailand to invest in securities such as stocks, mutual funds and structured notes on a trading platform, and the investors who use the service are subject to

account owner's knowledge to prevent potential damage. Recently, the SEC has punished offenders who caused damage to investors in several cases. In any event that an investor truly wishes to have a person

of the Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities