barred her from holding any securities company management positions for six years. In case of {B}, she had used a client trading account to trade AMC shares for another person. The SEC found that Somchai
established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund to Solve the Problem in
) a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet
)1 a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “ securities company association ” means an association relating to securities
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “securities company association” means an association relating to securities business
position of manager or equivalent in accounting or finance departments; “controlling person” means a shareholder or any other person who by behavior has an influence over policy making, management or
able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any