registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk
business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices
identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card
Mr. Wiboon Phatrapiboon obtained a bachelor’s degree in engineering from Kasetsart University and a master’s degree in Science from Chieng Mai University. Prior to joining the SEC, he was Deputy
Lederer (Thailand) Company Limited Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office
Marnfah Group Company Limited Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S
Mandawee Tour Co., Ltd. Mandawee Tour Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.33
category of shares (Private Placement) without having obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 4/2019 Settlement Committee Order No. 17/2019 Dated 20/11/2019