brokerage, dealing or underwriting of investment units; (2) “Derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker under the law on derivatives
undertake securities business in the category of brokerage, dealing or underwriting of investment units; (2) “Derivatives broker” means any person licensed to undertake derivatives business in the category of
concealing the identity of the person who was the real user of those accounts.Pattanapong?s action was deemed to be in violation of Section 243 (1) in conjunction with Section 244 and Section 243(2) of the
1 24 August 2020 Subject : Notification on Resolution of the Board of Directors’ Meeting No.8/2020, Appointment of Directors in Replacement of Those who will Retire by Rotation, and Addition of
Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the
already investigated TTA shareholding structure and request explanation from relevant persons. Under the SEC regulations, any person and persons hold or announce intention to hold at least 25% stake in TTA
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
Derivatives Business Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established
Section 312 of Securities and Exchange Act of 1992 ("SEA") with the following offences:1) For their responsibility over PICNI operations in 2004 when they jointly made changes to the contracts to let