derivatives trading orders for several clients without sources of orders. From the recorded conversation, it was found that Napat contacted some persons and asked for permission to submit securities and
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
Approval for Undertaking of Derivatives Business (No. 2)
Approval for Undertaking of Derivatives Business (No. 3)
The Approval of Personnel in the Capital Market Business
Re: Rules, Conditions and Procedures for Approval of Securitization Projects
investment upon approval of the SET Board of Governors, and (4) the composition of the CMDF Board shall be restructured. The received public comments and the Ministry of Finance's resolution from the previous
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
in the units of a property fund or an infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC https