securities or investment units; (3) a person who obtains derivatives business license in the category of derivatives broker whose shareholder is a commercial bank or the securities company under either (1) or
) “applicant” means a person applying for derivatives business license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial banking or law on business of
trading orders from a person who was not the account's owner and sent trading orders of TRAF shares in an inappropriate manner. The SEC, therefore, suspended her from the investor contact status for two
No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546 (2003
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
The Securities and Exchange Commission (SEC), with the reports from the Krungthai Bank PLC and the SEC’s further investigation, found that in November 2021 Saowarat had misappropriated her client
barred her from holding any securities company management positions for six years. In case of {B}, she had used a client trading account to trade AMC shares for another person. The SEC found that Somchai
hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person