aided and abetted Devere & Partners and Mr. Ian McIntyre by allowing them to use the name and email of Broadgate for undertaking such unlicensed business.Actions of the three persons above violated
program trading including the trading conditions. A key operating system compatible for the undertaking of private fund management must also be established to ensure that intermediaries will be able to
undertaking PVD management business to acquire necessary data of PVD members. Such data would enable AMCs to contact and identify PVD members before making direct payments to eligible persons. The proposed
, respectively, to lure the investing public into their businesses.The aforesaid acts are deemed undertaking derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546
undertaking of securities business will be proposed to the Ministry of Finance.The revisions will help promote investment unit brokerage. The more service providers, the greater access to a variety of financial
persons or a person acting on behalf of, or at the direction of, or an undertaking controlled by such persons; (3) inform the AMLO of such frozen assets; and (4) inform the AMLO of a customer or former
person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of the Act. The SEC
AIA Investment Management Private Limited Undertaking for Collective Investment in Transferable Securities (UCITS) (Luxembourg) (Large Cap) 2. AIA Global Multi-Factor Equity AIA Investment Management
Limited Undertaking for Collective Investment in Transferable Securities (UCITS) (Luxembourg) ? 1. (Structured Note) 2. (Unlisted Securities) (Derivatives) (Hedging) (Foreign Exchange Rate Risk) (USD) (USD