, telephone calls, SMS, and Line application with a view for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj, an investment

derivative contracts. Such solicitation was made via various channels, for example, the website of the company - www.chart-master.com, Youtube, emails, telephone calls, SMS, and Line application with a view

remuneration such as Clubhouse application, Line group and Facebook without obtaining license from the SEC by in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions

Regulation shall apply to application for license and issuance of securities business licenses as follows: (1) Type A securities business license: (ก); (2) Type B securities business license: (ข); (3) Type C

Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation

Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives

from 30 days to 7 days, and the cooling-off period* from 14 days to 3 days;    (2) mai/SET listing requirements for LiVEx-listed companies: To require an application for approval, compliance with the

investors’ understanding and assessment of whether the mutual funds meet their investment needs and mitigate the risk of greenwashing. ** The fee exemption applies to the 100,000 Baht application fee for

of criteria for application for approval for issuing and offering of debt securities in line with non-listed companies and duties for preparing and submitting reports on financial condition and

In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for