licensed to operate securities business in accordance with the Securities and Exchange Act of 1992. Their actions are in violation of Section 90 and liable to the penalties under Section 289, i.e
funds from overseas to make investment based on his advice for the sake of tax benefits and long-term return. The investors followed his advice but suffered loss.? Mr. Malpass was not licensed to operate
not hesitate to call our Investment Scam Hotline 1207 ext. 22.”Suspicious investment solicitations can be reported at www.sec.or.th/scamalert or e-mail: scamalert@sec.or.th. The lists of licensed
, conditions and procedures for brokerage and dealing in foreign securities issued under the law on securities and exchange; (2)1 “derivatives broker” means entity licensed to undertake derivatives business in
B.E. 2546 18 03/07/2003 06/01/2004 2. Notification of the Securities and Exchange Commission KorThor. 26/2560 Determination of Paid-Up Registered Capital of Licensed Operators to Undertake
usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify
.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please
for Undertaking Businesses as Derivatives Business Operator (No. 2) dated 14 December 2017; 2 Clause 2 In this Notification: “licensee” means: (1) person licensed to undertake securities business