such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on
trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of
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 business without obtaining a license. The Court, therefore, sentenced the defendant to imprisonment for a term of 2 years and a fine of 200,000 Baht. Given that the Defendant pleaded guilty, which
Farm project. The solar farm project is commercially attractive and feasible upon obtaining (Condition Precedents) 1. BOI privileges 2. Credit facility from a financial institution 3. All other permits
meeting of the Board of Directors of Fancy Wood Industries Public Company Limited (the “Company”) No. 8/2017 dated September 8, 2017 approved the investment in the property development business by acquiring
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in the category of derivatives broker limited to gold derivatives; (7) a commercial bank; (8
conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives