Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
. Phuthitorn Tamthum acted with acknowledgment or pursuant to a mutual agreement to allocate roles among themselves in trading securities in a manner that misled the public regarding the price or trading volume
and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents
; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act
the offenders sign a letter of consent, agreeing to comply with the civil sanctions. In the event that any offenders refuse to give consent to the sanctions, the SEC will submit the cases in writing to
written contract or agreement on custody of clients’ assets , which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement
agreement on custody of clients’ assets, which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement denying or limiting the
management or risk management of such investments, whether or not it is a central utility function and at any level, there shall be a procedure for requesting an approval from the intermediary’s board of