,” and “controlling person” shall mutatis mutandis have the same meanings as defined in the Notification of the Securities and Exchange Commission governing determination of definitions in notifications
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for
) of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this notification hereto: (1) “derivatives broker” means any person
Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this notification hereto: (1) “derivatives broker” means any person licensed to
, the SEC filed the criminal complaint against her with the DSI for further criminal proceedings. In any case, filing a criminal complaint commences criminal justice administration whereby any person
material to {X1} Company share price. The purchases were made through trading accounts of his son in which Sumit was an authorized person. In late 2012, {A} learned of the information concerning {X1} Company
incompetent in the https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-derivatives2003-amended.pdf translate-spv.docx the period prescribed by the SEC Office; (2) any person who is in possession of
Bangkok, April 10, 2014 ? The SEC is seeking public comment on relaxing a unit holding limit where any person or group of persons is allowed to hold not exceeding one-third of all units in a mutual
non-Thai nationals and omnibus account in other ASEAN countries to non-Thai nationals and omnibus account. Besides, measures against any person or group of persons wrongfully using Thai ASEAN CIS for