Offeror : | Date of submission of the Statement of Intention : 29/10/2010
Offeror : | Date of submission of the Statement of Intention : 09/11/2010
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
. Operators of derivatives business wishing to apply for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a securities company, Bank of Thailand or licensed to undertake securities business
verification showed the match with Surasak?s signature in the opening account request form and letter of explanation. Furthermore, it was found that the addresses used by Surasak and Thanjira are the same and he
clients ? dishonestly used the information regarding clients? trading orders he had accessed by virtue of his duty and ran a fraudulent scheme whereby the orders of UBS?s clients would match with those of