, or code of conduct announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer , the SEC Office may order such person to amend
announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer, the SEC Office may order such person to amend, act or refrain to act in
issued by home regulator; 4 (c) has not had record of violating the laws or regulations under the responsibility of the home regulator in the matters relating to disclosure of material information to
) 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
risk factors that are specific to the issuer and its industry and had materially affected or could materially affect, directly or indirectly, the issuer’s financial position and results and business
had the characteristics under the Notification of the Securities and Exchange Commission Re: Units of Foreign ETF Deemed as Securities Not Subject to Provisions on Public Offering of Securities