transaction and goods or variable and disseminates aforesaid analysis to its clients, the derivatives dealer shall inform the name and information of such person to the SEC Office within 7 days as from the
also set compensation as a result of the License return in the amount of Baht 890.83 million. As such, Spring shall receive such compensation within 60 days from the date of service termination. 2
system for controlling and preventing the use of inside information between its work units and personnel clearly: (a) the period where the intermediary prepares a report on securities analysis ; (b) within
) within three business days from the date when a report on securities analysis has been disseminated to investors; (c) the period where there are outstanding securities trading orders of clients; (d) the
within one year, unless such condition has been waived by the SEC Office; 2. the financial lease contract which a derivatives broker , as lessee, is entitled to prematurely terminate without the condition
the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date within one year, unless such condition has been
more than one year as from the calculating date, and have not determined the condition to repay before the maturity date within one year, unless such condition has been waived by the SEC Office; 2. the
consideration of issuing a license within sixty days from the date on which the SEC Office receives the application and supplementary documents in full. The Securities and Exchange Commission shall complete its