instruments and investment units; “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to
: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not
, Section 39, Section 48 and Section 50 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In
advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. This case is in the process of inquiry by the inquiry official. SEC Act S.90
Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management 06/08/2009 16/08/2009 2. Notification of the Securities and Exchange Commission 1
dated 4 June 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “executive” means a manager or an authorized management person; (2) “manager” means a person
Sections 89/24, 278, 281/10 in conjunction with Sections 300, 306, and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) (as the case may be), the SEC therefore has filed a complaint against
action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person, where the position exceed the amount impose by the derivatives exchange