The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
Bangkok, March 15, 2011 ? The SEC will propose permission for precious metals business operators to undertake derivatives business limited to brokerage of precious metals derivatives, as part of the
Microsoft Word - hearing credit derivatives 110252.docx เอกสารรับฟงความคิดเห็น การอนุญาตใหกองทุนเขาทําสัญญาซื้อขายลวงหนาท่ีมีลักษณะเปนการเคลื่อนยาย ความเสี่ยงดานเครดิต (Credit derivatives) ฝ
undertaking derivatives business without license. In combating and suppressing against illegitimate businesses, the SEC also alerts investors in this matter and strongly advises them to check whether the
Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following