Personnel in the Capital Market Business dated 3 June 2014, and were thus suspended as securities investment consultant. The person in (2) was in contravention of Clause 31(1) and Clause 33(3) of the
. Clause 2. In this notification hereto: (1) “derivatives broker” means any entity licensed to undertake derivatives business in the category of derivatives broker; (2) “manager” means any person who is
notification hereto: (1) “derivatives broker” means any entity licensed to undertake derivatives business in the category of derivatives broker; (2) “manager” means any person who is authorized by the board of
(Newest) Date (Oldest) translate-spv.docx the period prescribed by the SEC Office; (2) any person who is in possession of property or documents belonging to the special purpose juristic person shall inform
creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order that the trustee shall manage such https://www.sec.or.th/EN/Documents
contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order https
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
Companies shall be in accordance with Chapter 2; (3) Additional Rules for Proprietary Trading of Derivatives Brokers shall be in accordance with Chapter 3. The management of investment of a juristic person in