Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this notification hereto: (1) “derivatives broker” means any person licensed to
, the SEC filed the criminal complaint against her with the DSI for further criminal proceedings. In any case, filing a criminal complaint commences criminal justice administration whereby any person
material to {X1} Company share price. The purchases were made through trading accounts of his son in which Sumit was an authorized person. In late 2012, {A} learned of the information concerning {X1} Company
incompetent in the https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-derivatives2003-amended.pdf translate-spv.docx the period prescribed by the SEC Office; (2) any person who is in possession of
Bangkok, April 10, 2014 ? The SEC is seeking public comment on relaxing a unit holding limit where any person or group of persons is allowed to hold not exceeding one-third of all units in a mutual
non-Thai nationals and omnibus account in other ASEAN countries to non-Thai nationals and omnibus account. Besides, measures against any person or group of persons wrongfully using Thai ASEAN CIS for
advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very
Mr. Kavin Phongpandecha Mr. Kavin Phongpandecha, an authorized director of a digital asset broker called Bitazza Company Limited ("Bitazza") and an authorized person to certify the accuracy