derivatives intermediary. “client” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary. Clause 2 In
intermediary. “client” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary. Clause 2 In order that an
may not be available for timely problem solving. However, the SEC's power shall be limited to issuance of order of shareholders? meeting. This alternative approach has been considered in conjunction
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
the government or securities regulator. “market maker” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net
a securities company licensed to undertake securities business in the category of mutual fund management. “foreign exchange” means [i] a juristic person established under foreign law which offers
customer who is listed as a designated person or who has or had conducted transactions with such a person. Failure to do so may result in criminal penalty. In addition, a director, a manager, or a person
million baht. The SEC?s findings were similar to the previous investigation in that Wichai had falsified document for securities purchasing order to deceive NIPPON into paying for such fictitious purchase
disclosure statement for futures trading, the SEC Office hereby issues the following notification; Clause 1. In this Notification, “derivatives broker” means a juristic person licensed to undertake derivatives
trading, the SEC Office hereby issues the following notification; Clause 1. In this Notification, “derivatives broker” means a juristic person licensed to undertake derivatives business operation in the