with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the

and approval for appointment of an executive of a derivatives business operator as follows: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed to undertake

executive of a derivatives business operator as follows: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed to undertake derivatives businesses; “executive” means

for approval and approval for appointment of an executive of a derivatives business operator as follows: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed

professional principle. “appraisal company in capital market” means a juristic person having normal business purpose to value any asset and wish to contribute appraisal services for capital market transaction

exploitation of this channel for the benefits of certain person or group of persons.Mr. Vorapol Socatiyanurak, SEC Secretary-General, said ?In establishing a retail fund, its investment units should be dispersed

another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2

Silver Line Trading Intertrade Co., Ltd. Silver Line Trading Intertrade Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the

Diamond and Silverline Group Co., Ltd. Diamond and Silverline Group Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives

K.N.O. Marketing Co., Ltd. K.N.O. Marketing Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003