Derivatives Business Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established
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
securities business in the category of securities brokerage, securities dealing or securities underwriting, and (2) a person licensed to undertake the derivatives business in the category of derivatives agent
in his capacity as the responsible person for the operation of Zipmex, which included ordering or acting and omitting to order or failing to act in any way that caused Zipmex to commit offenses in
cash or transferred the money to the juristic person claimed to be an agent from Hong Kong SAR or through currency exchange company in Thailand.According to the Derivatives Act B.E. 2546 (2003), any
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
B.E. 2535 (1992), which contains certain provisions that restrict the rights and liberty of a person, which is provided for by virtue of legal provisions, according to Section 29, in combination with
…………………………………….……… - provide a statement that the information in form 69-SUPPLEMENT-FD submitted to the Office of the Securities and Exchange Commission is considered to be a part of form 69- BASE-FD which becomes effective on
percent of the total units sold for any particular person to prevent any individual from having majority control over scheme?s policy, which is more relaxed than traditional property fund in which any
in comparison with the total voting rights of the business I. Person who makes the announcement Ordinary 21,879,810 19.89 19.89 II. Persons in the same group as the person who makes the announcement