million baht in accounting documents. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to IFEC as well as made false
with the amount of 155 million baht in accounting documents. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to
wishes to maintain the approval status, such person must take a refresher course and pay the renewal fee every two-calendar year period at the amount of 1,000 baht in case of investment consultant
in foreign jurisdiction; 2 “executive” means a manager or the next four executives succeeding the manager, a person holding equivalent position to the fourth executive, including a person holding the
brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom
Notification: “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; “market maker” means any person registered as market maker with derivatives
. 45/2547 Re: Determination of Undertaking not Deemed as a Derivatives Dealer dated 8 October 2004 shall be repealed. Clause 2. Person who offers to trade or trades in derivatives for his own account