with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
Bangkok, February 13, 2015 ?Current regulations prescribe that a mutual fund must be dissolved if more than two-third of all the units sold were redeemed. The rationale behind the said regulations is
quarter last year. This is a consequence of altering the administration and management of projects to suit the work schedule. The changes are as follows: Cost of contract work amounts to Baht 210 million; a
Commission ______________________________________________________________________ Remark : The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker
______________________________________________________________________ Remark: The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore
. Notified this 5th day of November 2008. (Vijit Supinit) Chairman The Securities and Exchange Commission ______________________________________________________________________ Remark: The rationale for