mutual funds with investment in derivatives, hybrid securities, structured notes, and derivatives.***Phisit’s application for obtaining SEC approval to be personnel in the capital market business during

deposit cash into client's account. {A} also used client's account to trade securities on her own benefit with a view to obtaining commission. Her actions caused B2-3 million in damages to the client.{A

Project participants and their supporters were awarded in recognition of their success in obtaining IPO approval under the criteria.Vorapol Socatiyanurak, SEC Secretary-General, said that ?Pride of the

such trading.In performing their duties, investment consultants can send trading orders only when obtaining instructions directly from the client.  They cannot make decisions on behalf of clients

institutional or ultra-high net worth investors, investment units of mutual funds with investment in derivatives, hybrid securities, and structured notes. *** Sareerat’s applications for obtaining SEC approval

digital asset dealer business under Section 3 of the Emergency Decree. However, Exmix carried out such activities without obtaining the required licenses, thereby violating Section 26 and being subject to

of the Emergency Decree. However, Bitazza and FreedomVerse carried out such activities without obtaining the required licenses, thereby violating Section 26, which shall be liable under Section 66

) any other information specified by the Office as deemed necessary for protection of shareholders’ interest; (2) obtaining a shareholders’ resolution approving the issuance of underlying shares for the

application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance after

) an application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance