&start=30&rows=10 31 - 39 of 39 results Sort by: Relevance Date (Newest) Date (Oldest) Settlement Committee Order No. 21/2022 Dated 07/12/2022 stations were not provided a warning statement about the risks
operators are unable to maintain net capital (b) business operators default on the clearing and settlement of securities with the clearing house or their clients in case of securities companies, or
will be developed to support the whole process of trading products in the capital market from the issuance, offering, trade to clearing and settlement of securities as well as enhance the efficiency of
, Section 133 and Section 136 of the Securities and Exchange Act B.E. 2535 (1992). On 13 March 2020, the Settlement Committee imposed a fine of 8.06 million baht on the company. In the case of Mr. King, he
management, such as, the issuance and offering of securities, the Know Your Client process, the securities registration process, as well as the trading and clearing and settlement process. Furthermore
executed trading orders through the aforesaid trading accounts. {A} had denied all the accusations without adduced counter evidences. Later, she agreed to enter the settlement procedure and made the fine
” หรือ “ตัวแปร” (cash settlement derivatives) 3) สัญญาให้สิทธิในการเรียกให้ส่งมอบหรือชำระราคาที่อ้างอิง U/L ที่เป็น
Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2551 Re: Amount of Damages Arising from Derivatives Transaction for Settlement by Arbitration _____________ By virtue of Section 9 and the second
the Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2551 Re: Amount of Damages Arising from Derivatives Transaction for Settlement by Arbitration _____________ By virtue of Section 9 and the