Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the

already investigated TTA shareholding structure and request explanation from relevant persons. Under the SEC regulations, any person and persons hold or announce intention to hold at least 25% stake in TTA

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 under foreign law

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