Property that has held shares under any of the following conditions: (1) Such person has https://publish.sec.or.th/nrs/3814pe.doc -ร่าง- such action until the complaint handling is completed. In the case
has held shares under any of the following conditions: (1) Such person has https://publish.sec.or.th/nrs/3814pe.doc -ร่าง- such action until the complaint handling is completed. In the case where the
November 2008. Clause 2 The following notifications shall be repealed: (1) The Notification of the Securities and Exchange Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the
) “applicant” means a person applying for derivatives business license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial banking or law on business of
) dealing in securities as specified in (3); (3) underwriting of securities as specified in (3). “applicant” means person applying for securities business license under this Ministerial Regulation
Limited while the misconduct occurred. Following the inspection report of Tisco Securities Company Limited, the SEC further probed into the case and found that Napat submitted a number of securities and
The actions which cause conflicts of interest in this Chapter shall include the following conducts of an intermediary or its related person: (1) making [financial] benefit at the expenses of a client
which cause conflicts of interest in this Chapter shall include the following conducts of an intermediary or its related person: (1) making [financial] benefit at the expenses of a client; (2) entering