client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which represent entitlement in assets held by a
According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
undertake derivatives business in the category of derivatives brokerage. “assets of client” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying obligations under
possessed for a member” means: (1) assets that a derivatives clearing house receives from a member, whether it is owned by the member or its client, for use as collateral for derivatives trading; (2) assets
Parties: Buyer : Smaaash Entertainment Private Limited Seller : Major Cineplex Group Public Company Limited 3. Transaction Asset: 17,896,666 Shares (49.00%) of PVR BLUO Entertainment Limited to Smaaash
enter the transaction for purchasing the asset within October 2018. 2. The parties involved 2.1 Seller : Mr. Torsak Laphakulchai 2.2 Buyer : Thai Laminate Manufacturer Co., Ltd., 2.3 Relationship with the
7.5 percent). Thus, it was considered that Chonburi Kanyong did not transfer risks and material benefits from the property ownership to the buyer. CCP must submit the corrected financial statements