Bangkok, April 4, 2013 ? The Southern Bangkok Criminal Court sentenced Ravi Pattiyawongse to a two-year imprisonment for conducting unlicensed businesses of securities brokerage and dealing under the
) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses
reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
Dealing Which is Not Limited to Debt Instruments or Investment Units dated 3 August 2009, and Clause 6, Paragraph 1 of Clause 8 and Clause 33 of the Notification of the Capital Market Supervisory Board No