Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should
given time in the future (cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in
Exemption for Preparation and Disclosure of Securities Holding of Executives of Financial Institution Closed by the Financial Institution Reform Committee Order
Mr. Chusak Ruentip Mr. Chusak Ruentip failed to comply with the competent officer's order to testify. The public prosecutor issued a prosecution order against the accused; however, attempt to
Mr. Todsapon Buachaiyo Mr. Todsapon Buachaiyo failed to comply with the competent officer's order. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
appropriateness so as to provide investors with significant information sufficient for their investment decision making, the SEC Office shall have power to order a person intending to make an offer for sale of
that the maximum loss of a buyer of options is limited to the premium, he/she is to pay the premium but is not required to make margin deposit. On the other hand, the seller’s losses can be unlimited
Mr. SomChai Kurujitkosol The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.287 Criminal Complaint Filed with an Inquiry Official Dated 17/06/2009