/2551 Re: Securities and Derivatives Trading for Derivatives Broker _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as amended by the Derivatives Act (No. 2) B.E. 2551 (2008
provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
undertakes business related to capital market for four months, effective since 4 September 2017. In the case of (5), {E} advised a client to open a mutual fund trading accounting instead of a fixed deposit
Capital Market Supervisory Board No. TorThor. 2/2551 Re: Securities and Derivatives Trading for Derivatives Broker _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as amended by
Following tips and the SEC’s further inspection, it was found that {X1} has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the
นำส่งสำเนาประกาศและซักซ้อมความเข้าใจเกี่ยวกับการกำหนดหลักเกณฑ์การให้ความเห็นชอบผู้ให้บริการระบบสนับสนุนงานที่เกี่ยวข้องกับการซื้อขายหน่วยลงทุนและการจัดการกองทุน (Fund Service Platform)
5. Director of LTH 2.8 Source of Fund: Working Capital of the Company 2.9 Expected Benefits: Dividend 2.10 Characteristic of Connected Transaction: LTH is not considered a connected party, thus not a
. Such acts were done by falsifying documents relating to the trading of investment units of funds and documents relating to cash withdrawals, with the intention of deceiving clients that the investment
during such rectification. In case the Institute of Appraisal Profession is unable to rectify characteristic, fail or omit to act as stipulated in the first paragraph or fail to submit additional documents