that the intermediary which is a financial institution shall perform such revision and updating within a period of time stipulated by the Law on Financial Institution Business2; (b) the information for
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party is obliged to deliver the
relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for
assistant manager, a division director, a branch manager, and any persons holding equivalent position called otherwise and such person shall be responsible for services relating to derivatives contract
responsible for services relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function
Since the class action law came into force in 2015, the SEC has continuously publicized the information about the law to enhance knowledge and understanding of investors and interested parties
Royal Highness Prince Raphi Phatthanasak Krom Luang Ratchaburi Direkrit, the “Father of Modern Thai Law,” on the occasion of Prince Raphi Phatthanasak Memorial Day, on 7 August 2023, in front of the
, 2023 However, FL prepared and submitted the Complaint report of Q2/2023 to the SEC Office on JULY 18, 2023 later than the period specified by the law. SEC Act S.109 Settlement Committee Meeting No. 9