professional due care, as follows: (1) being under receivership by the court’s order; (2)1 being banned by the Stock Exchange from performing the position of executive or person who has the controlling power of
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
The seminar was graced by the presence of the Deputy Secretary-General to the Prime Minister for Political Affairs Kobsak Pootrakool, whose lectured under the topic of “How Thai Capital Market
Under the IOSCO guidelines, international regulatory agencies jointly promote and endorse the financial education and investor protection campaign during the first week of October each year. The
residing in Thailand that PPI solicited the complainant to transfer overseas pension to make investment under PPI's advice and management for the purpose of tax benefits and long-term returns. The
. KorThor 6/2547 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investor. By virtue of section 3 and section 9 under the Derivatives Act, B.E. 2546 (2003), the SEC hereby
. The applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established
applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established under a