investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client
group of persons assume the responsibility to the completeness and accuracy of the information in the case where such juristic person or the non-juristic group of persons has the duty to submit
The Securities and Exchange Commission (SEC), with the reports from the Krungthai Bank PLC and the SEC’s further investigation, found that in November 2021 Saowarat had misappropriated her client
barred her from holding any securities company management positions for six years. In case of {B}, she had used a client trading account to trade AMC shares for another person. The SEC found that Somchai
ที่ กม (Translation) No. Gor. Mor. 38/2560 August 8, 2017 Subject: Approve investment in International Commercial Coordination (Hong Kong) Ltd., which is a connected person To : Director and Manager
be repealed. Clause 2. In this Notification: “Derivatives agent” means any person licensed to undertake derivatives business in the category of derivatives agent. “Derivative exchange” means any
Property Deposited as Margins dated 8 May 2006 shall be repealed. Clause 2. In this Notification: “Derivatives agent” means any person licensed to undertake derivatives business in the category of
) Readers should be aware that only the original Thai text has legal force and that this English trans property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the
another person, called a trustee, with trust and confidence in order https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-trustact.doc Translation established under following Notifications