securities for making a short sale, including risks arising from depositing money with the securities company where such money will not be protected by the Financial Institutions Development Fund. The
investment units via the life insurance company; (11) “Derivatives Investor Contact” means a person obtained an approval to be derivatives investor contact according to the notification of the Office of the
via the life insurance company; (11) “Derivatives Investor Contact” means a person obtained an approval to be derivatives investor contact according to the notification of the Office of the Securities
35% recorded at the end of the year 2018. 2. Profit obtained from the disposal of assets to Jasmine Broadband Internet Infrastructure Fund (“JASIF”) In November 2019, TTTBB entered into the Additional
deceive the company into transferring money to his and other persons? banking accounts as well as embezzling the company?s securities and money obtained from selling NIPPON?s investment units at the total
operators, as they may not be protected by the governing laws and may fall victim to frauds and scams. The list of SEC licensed and approved business operators and personnel can be checked at www.sec.or.th
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
? demands. This is to ensure that debt securities will continue to be a key product of choice for fund mobilization, while investors are better protected. Assistant Secretary?General Charuphan Intararoong
activities therewith may not be protected by the laws enforced by the SEC. In the case of the Facebook accounts, the SEC has instructed the accounts to end the solicitation on the social media platform. On a