AC2802/2018 February 28, 2018 Subject: Management Discussion and Analysis for Year2017 To: Managing Director The Stock Exchange of Thailand The company would like to report the operation results for
AC0815/2017 August 15, 2017 Subject: Management Discussion and Analysis for Q2/2017 To: Managing Director The Stock Exchange of Thailand The company would like to report the operation results for the
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any person to be or to act as a director, manager or
person to be or to act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application
licensed to undertake securities businesses under the law on securities and exchange; “Executive” means director, manager or person with power of management; “Person with power of management” means executive
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor; “client” means user of an intermediary’s services; “Stock Exchange” means the Stock Exchange of Thailand