Office of the Securities and Exchange Commission hereby issues the following guidelines: (Translation) -2- (1) in case where the derivatives business operator appoints a new person to be an executive of
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
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
Derivatives Business Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established
Following a referral from the Stock Exchange of Thailand (SET) in 2022 and the SEC’s further investigation, the uncovered facts and evidence led to the belief that Mr. Pongsak Lothongkam, who at the
investment in shares of limited companies, these can be offered for sale to more than 50 investors only if the offeror must put in place the following mechanism for protection of shareholder’s rights: (a
. 2551 (2008), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. Any person who wishes to apply for a license for undertaking securities business pursuant to the
Exchange Commission hereby issues the following regulations: Clause 1. Any person who wishes to apply for a license for undertaking securities business pursuant to the Ministerial Regulation Concerning
to the following cases taking place at different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual