Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of
COMPANY LIMITED ADVANCED WIRELESS NETWORK COMPANY LIMITED ADVICE IT INFINITE PUBLIC COMPANY LIMITED AE POWER GODO KAISHA AE SOLAR LIMITED LIABILITY COMPANY AEON THANA SINSAP (THAILAND) PUBLIC COMPANY
. In this Notification, “Derivatives broker” means any company licensed to undertake derivatives business in the category of derivatives broker, but shall not include a financial institution under other
come into force as from 1 May 2008. Clause 2. In this Notification, “Derivatives broker” means any company licensed to undertake derivatives business in the category of derivatives broker, but shall not
Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14 and Section 19 of the Derivatives Act B.E
derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker
failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
liability arises from his failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in IHL’s delayed submission of the report. SEC Act S.300 in