individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
service income for the first quarter 2019 was 208.3 million baht compared to 278.8 million baht the same period last year, decreased 70.5 million baht or 25.3 percent mainly from a decline in print media
complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale
a derivatives intermediary. “ client ” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary
derivatives intermediary. “client” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary. Clause 2 In
intermediary. “client” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary. Clause 2 In order that an
Baht, a decrease of 87.66 million Baht from the same quarter last year which was equal to 165.55 million Baht, representing a decrease of 52.95 percent, of which the total decrease in revenue mainly came
decrease of 87.66 million Baht from the same quarter last year which was equal to 165.55 million Baht, representing a decrease of 52.95 percent, of which the total decrease in revenue mainly came from sales
any expenses incurred from investigating the offence. He was also barred from serving as a director and executive of securities issuing companies and securities companies for a specific period.*Since
with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and