and derivatives businesses. Vasant Thienhom, SEC Deputy Secretary-General, said that ?Following suspicious report, the SEC probed into the case and found that Yuttana held himself out as money manager
Section 16 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 . In this Notification: (1) “derivatives business operator” means
Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: (1) “derivatives business operator” means a derivatives business
Establishment of Company under the law of the jurisdiction where such foreign ETF is established – in case of foreign ETF established by an investment company; or [ ] (b) Trust Instrument or Trust Agreement – in
to regulations on approval and standards of conduct for personnel in such securities businesses under various notifications. It is, therefore, appropriate to allow one person to contact investors in
hold shares in an aggregate of more than thirty percent of the outstanding shares of such company; (5) Juristic person of which the fund supervisor or its directors, managers or persons with power of
fund” means any open-end fund and closed-end fund; “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Connected person
Section 312 of Securities and Exchange Act of 1992 ("SEA") with the following offences:1) For their responsibility over PICNI operations in 2004 when they jointly made changes to the contracts to let