(Thailand) at the time, had prepared documents and contracts on behalf of the securities company and solicited eight clients to deposit money in the company?s banking account for the purpose of investing in a
://www.sec.or.th/TH/RaisingFunds/EquityDebt/Documents/activities_report_th_2558.pdf 2. สอบถามข้อมูลเพิ่มเติม รวมทั้งขอรับรายงานฉบับพิมพ์ได้ที่โทรศัพท์ 0-2263-6082, 0-2263-6218 หรือ email: oca@sec.or.th
, Bangkok.The documents and evidence found at the site revealed that the company solicited the public to invest in gold futures by representing itself as a branch office of foreign broker, causing investors who
seek unfair personal gains all over again. In addition, some of the investment consultants sent selling orders of investment units in the clients' accounts by counterfeiting unit sale documents, opening
/Documents/ActandRoyalEnactment/Act/act-derivatives2546-codified.pdf)(1) มาตรา 22 บัญญัติว่า ผู้ประกอบธุรกิจสัญญาซื้อขายล่วงหน้าจะประกอบธุรกิจอื่นใดมิได้ เว้นแต่จะได้รับความเห็นชอบจากสำนักงานเมื่อสำนักงานได้
statement indicating that the client had signed the documents to open the securities trading account in witness of an investment consultant. Nonetheless, {B} admitted that she was the one who processed such
arrangement of payment of the structured notes or debt repayment in respect of the structured notes in either Thai or foreign currency. Clause 14 Documents or evidence filed with the SEC Office as specified
Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
who have been approved by the SEC Office shall clarify, submit relevant documents or evidence, take action or not take action according to such request. Clause 142 Regarding the filing of the
Nittaya Na Songkhla (collectively the “Buyers”) and the execution of a share purchase agreement of SUTG, other arrangements, contracts and documents in connection with the disposal of investment in SUTG