financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business

securities financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers

financial instruments were derived from a variety of activities, including, derivative warrants (DWs), over-the-counter (OTC) derivatives, investments in debt and equity securities for the Company’s own

Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, Acting Secretary-General, clarified: “The SEC, to the best effort, has taken actions under the authority in this case, e.g., instructing

Office operation ( 6 record(s) found) No. Report Name Data File As of Data Definition 1 Actions against related party transactions and acquisition and disposal of assets 2022   2 Rectification orders

the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory

company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal

. Later, she took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal Code. The public prosecutor issued a non-prosecution order

Printable Format - Laws and Regulations Derivatives Advisors |- Registrar and Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital

assets and the adoption of TFRS 16  Net profit from operation was THB 51mn, an increase of 25.0%  Cash flow for the quarter from operating activities remains positive at THB 65mn KEY BUSINESS AND