derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
CRA should avoid issuing credit ratings for entities or obligations for which it does not have appropriate information, knowledge, and expertise. For example, where the complexity of a security or the
special case expert and acting Director of the Bureau of Legal Affairs, the Department of Special Investigation (DSI), the Ministry of Justice. With over a decade of experience in special case investigation
clarification of the facts in such case within 29 March 2023, in relation to the impacts on the company and the clients as well as further actions to be taken by the company. In this connection, Zipmex was
liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. This case is in the process of inquiry by the special case inquiry
’ securities trading accounts by allowing others to use his trading account. the special case inquiry official dismissed the case because the statute of limitations ran out. SEC Act S.243(1) in conjunction
.com In case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the
case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the