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be repealed.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Property Deposited as Margins dated 8 May 2006 shall be repealed.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
brought about benefits to Suthisak and a juristic person whose major shareholders are Darunee and Paphawin. Their actions were therefore deemed in contravention of and shall be liable to the penalty under
securities or investment units; (3) a person who obtains derivatives business license in the category of derivatives broker whose shareholder is a commercial bank or the securities company under either (1) or