center and other receivables such as a receivable of securities trading by cash who fail to pay within due period or a receivable pending under a composition proceeding or payment in installments. As for
suspended and such securities company must not have any pending report. Such exemption shall desist when such securities company has resumed its business operation with the approval from the SEC or the Office
revoked: O yes O however, such case has already been granted exemption by the SEC; O pending application for exemption from SEC; O other cases (please specify)…………………………………. O no 6.4 Being a director
allowed for derivatives trading under Clause 8 and Clause 9 shall maintain its qualifications according to Clause 6 at all times when such derivatives broker trades derivatives for its proprietary account
intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the securities company, when requested
which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a contract
) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a