) 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
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private fund with the same investment policy, the securities company must
Transaction and the Related parties Date of the Transaction - After obtaining the approval from the Board of Directors Meeting No. 7/2017 held on 30 November 2017 at 13.30 hrs. The Related Parties - Vinythai
. Notification of the Securities and Exchange Commission KorKhor. 26/2547 Application Form for Obtaining a License to Undertake Securities Businesses in the Category of Brokerage, Dealing and Underwriting of
Paragraph 1 shall be completed within twenty- one days from the date of obtaining the approval from the general shareholders’ meeting, but no later than four months from the end date of the fiscal year
: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not