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
) “applicant” means a person applying for derivatives business license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial banking or law on business of
trading orders from a person who was not the account's owner and sent trading orders of TRAF shares in an inappropriate manner. The SEC, therefore, suspended her from the investor contact status for two
No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546 (2003
units which invest a high proportion in the Greenfield project are offered exclusively to high net worth investors; (4) Any person or persons in the same group is entitled to hold investment
” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the
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
for 3 months to Advance Power Conversion Co., Ltd. (“APCON”), the associated company and connected person, in the amount of loan 30 million baht which will be due on May 13, 2020. The details of
Personnel in the Capital Market Business dated 3 June 2014, and were thus suspended as securities investment consultant. The person in (2) was in contravention of Clause 31(1) and Clause 33(3) of the