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
) 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
this Notification shall be as follows: (1) 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
licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
) dated 14 December 2016. Clause 2 In this Notification: “derivatives Broker” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the