personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in
investment advisory on the condition that the person giving advice and the owner of the website or any other electronic media do not collaborate or share duties with the other party to avoid personal acts
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out of NUSA into personal accounts and those of close associates for their own benefits or others’, consequently causing damage to NUSA. In so doing, (5) Ms. Varinborn Chantarojvanich, the seller of
for business intermediaries (trading centers, brokerage firms or traders) is required to identify themselves to service trading of Libra in Thailand.Protection of Personal Information: The public
collateral placement for a client's KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She
derivatives agent; (3) person licensed to provide services as securities registrar, excluding persons licensed to provide services as securities registrar under the Notification of the Securities and Exchange
ก็ดี ส านักงานพบว่า นิติบุคคลผู้ยื่นขอรับความเห็นชอบบางประเภท ได้แก่ บริษัทหลักทรัพย์ (“บล.”) ตัวแทนในการซื้อขายหน่วยลงทุนในประเทศ1 (“selling agent”) และตัวแทน ซื้อขายสัญญาซื้อขายล่วงหน้า (“ตัวแทน