Asia Wealth Securities Public Company Limited Between June 4, 2020 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, engaged in an act which may cause damage or
, Associate Economics Officer, Asian Development Bank (ADB)Ms. Kelly HaGel, Senior Financial Sector Specialist, ADBนายณัทธร โพธิแพทย์ ผู้ตรวจการธนาคารออมสิน กลุ่มลงทุนและบริหารการเงินธนาคารออมสินMr. Anouj Mehta
DBS Vickers Securities (Thailand) Co.,Ltd. Between May 22, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to put in place a
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
shall be repealed. Clause 3 In this Notification: (1) “ derivatives broker ” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “ manager
shall be repealed. Clause 3 In this Notification: (1) “derivatives broker” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “manager