other three (Mr. Thanaris Pornpattanajamsai, Miss Audcharapron Radchanajun, and Mr. Saksumit Samornpitakul) refused to give consent to the civil sanctions. Consequently, it is deemed that the three
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself
client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the
Printable Format - Laws and Regulations Derivatives Dealer |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS
Office of the Securities and Exchange Commission with regard to their operating performance and financial position. 3. Criteria for digital asset businesses: Digital asset businesses are categorized into
a statement of consent to the civil sanction and fully paid a civil penalty of 500,000 baht*. The other six offenders made an appointment to make a statement of consent to pay a separate civil penalty
) balance sheet, profit and loss account, and schedule of investments audited and commented on by an auditor; (2) details of investments, borrowings, and encumbrances of the mutual fund classified in
persons, the SEC Office complies with the specified purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office will