specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such
Mr. Wasan Kiewkao Mr. Wasan Kiewkao conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives
G.L.E. (Thailand) Co. Ltd. G.L.E. (Thailand) Co. Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives
Derivatives Exchange, as detailed in Chapter 2; (2) Business Continuity Management and Security of Information Technology Systems, as detailed in Chapter 3; (3) Retention of Information and Documents, as
manner, and operate appropriately and correspond with the standards established by an international organization concerning capital market supervision, each derivatives clearing house shall operates in
1 มิถุนายน พ.ศ. 2550 เป็นต้นไป ประกาศ ณ วันที่ 25 พฤษภาคม พ.ศ. 2550 (นายธีระชัย ภูวนาถนรานุบาล) เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ PAGE C:\Documents and Settings\urairat
depositories, which are financial market infrastructures, to deploy effective and secure risk management systems, provide services in a transparent and fair manner, and operate appropriately and correspond with