invest in derivatives issued by any issuer or traded in any derivatives exchange which is not under the supervision of the Office, the Office shall have power to specify types of derivatives contracts in
contracts in which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the derivatives fund manager
Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed
and entered into derivatives contracts whose underlyings were the securities price of such companies while the companies’ draft financial statements were being recorded in the EY information system
” means derivatives under law on derivatives and any other similar contracts; (4) “foreign derivatives exchange” means juristic person established under foreign law which is capable of providing derivatives
contracts on the Derivatives Exchange for 3 years from 15 December 2020; and a bar from serving as a director or executive in a securities issuing company or a securities company for 5 years from 15 December
incurred by the SEC), a suspension of trading in securities or entering into derivatives contracts for a period of 14 or 30 months (as the case may be) and a bar from serving as directors or executives in
manager position of another audit group. Mr. Warot and Ms. Jeeranan jointly purchased securities and entered into derivatives contracts whose underlyings were the securities price of such companies while
Commission No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546