Derivatives Act B.E.2546 (2003). In addition, WSD Financial (NZ) Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact it had been registered with the SEC as derivatives dealer
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
CoinsTH Company Limited Between April 1, 2024 and May 1, 2024, CoinsTH Company Limited ("CoinsTH") as a cryptocurrency broker and dealer, failed to comply with the rules, conditions and
Coins TH Company Limited Coins TH Company Limited (''Coins TH''), a cryptocurrency broker and dealer, is obligated to submit a financial statement for the year 2024 to the SEC
นการยกเลกิการเสนอขาย หลกัทรัพย ์และการจองซือ้หลกัทรัพย ์เป็นตน้ Disclose other material information such as financial advisor, lead-underwriter, co-underwriter, effective date of registration statement
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
’ Representatives. "insiders of issuer who issues underlying shares" means persons who are in the position with possible access to inside information of the issuer who issues underlying shares due to the structure of
ไม่ต้องรำยงำน o กรณีที่กองทุนซื้อขำยตรำสำรหนี้ตัวเดียวกัน ผ่ำน dealer เจ้ำเดียวกัน และอยู่ ในช่วงระยะเวลำ 5 วันท ำกำร (3.4) ในกรณีที่ต้องส่งรำยงำนขึ้น Web Site โดย Link URLผ่ำน web site ของ ส ำนักงำน