) notifying the rules on providing consultation of investment under the law on securities and exchange to the foreigner for acknowledgement; (4) giving the foreigner’s name and address to the client for the
institutional investor under section 3 of the Derivatives Act, B.E. 2546 (2003) and those mentioned in subsection (1) to (8) above hold total shares of more than 75 percent of all voting shares; (10) a foreign
Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of
of more than 75 percent of all voting shares; (12) a foreign investor of similar characteristic as the persons defined under Section 3 of the Derivatives Act, B.E. 2546 (2003) or those under (1) to (11
Jordan or Eric Jack Jordan as PPI director and personal capacity and (3) Gary Bradford for jointly operating securities business without license. The SEC received a complaint from a foreign investor
) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive
statutory corporation;(22) juristic person whose shares are held by person under (1) to (21), in aggregate, exceeding seventy five percent of all shares with voting rights; (23) foreign investor having
total voting shares; (23) foreign investor having characteristics similar to the investors under (1) to (22); (24) fund manager or derivatives fund manager in accordance with the Notification of the