Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities and Exchange
______________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008), and Section 35, Section 40(11), Section 41(3
the inquiry official. Mr. Yuttana’s act violated the Derivatives Act B.E. 2546 (2003), Section 16 also. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 19/12/2014
on Issuance for Sale of Sukuk and Disclosure of Information By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as amended by the Securities and Exchange Act (No. 4
Redemption and Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4
Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551