securities business in the category of the securities brokerage, securities dealing, securities underwriting, securities borrowing and lending or securities finance business; “Service provider” means a person
securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information concerning operation of securities
person, sold 3,450,000 {X1} shares in his daughter's trading account. He was a {X1} advisor who had accessed to the information on company projects which generated revenues. When becoming {X1} president
and managed money for others by seeking benefits from investment in derivatives. He advertised and solicited investing public to apply for a membership and raised fund from those who became members
/Documents/ActandRoyalEnactment/Act/translate-digital.docx 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
https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-digital.docx translate-spv.docx the period prescribed by the SEC Office; (2) any person who is in possession of property or documents
experience in the field of function to be operated for the intermediary . In this regard, the counting of such experience may continuously extend from the experience in other businesses if the juristic person
2017 (effective on 1 September 2017). 6 (6) a juristic person other than those persons under sub clauses (1), (2), (3),(4) or (5) which has at least 5-year experience in the field of function to be