Clause 4 The provision as prescribed in Clause 3 shall not be applicable to a securities company which has ceased operation of all kinds of securities business and already informed the cessation thereof in
shall be in accordance with the Notification of the SEC Office. 4the law on derivatives means The Derivatives Act B.E. 2546 (2001). 5 Clause 4 The provision as prescribed in Clause 3 shall not be
), and Section 67 and Paragraph 1(11) of Section 69 of the Securities and Exchange Act B.E. 2535 (1992), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This
penalized {B} by transferring her to perform duties unrelated to provision of services for sales of securities products from 25 December 2018 to 16 April 2020, which exceeded the penalty period imposed by
performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it is deemed that Prapai
B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “goods” means securities, gold, crude oil or any other property as
. 2535 (1992), as amended by the Securities and Exchange Act (No. 2) B.E. 2542 (1999), the SEC hereby issues the following regulations: Clause 1. In this Notification: “Fund” means any mutual fund or
unit responsible for work relating to fund supervisor ready for performing such work under Clause 2(5), and shall commence such business after having received an approval from the Office. The provision
unit responsible for work relating to fund supervisor ready for performing such work under Clause 2(5), and shall commence such business after having received an approval from the Office. The provision
unit responsible for work relating to fund supervisor ready for performing such work under Clause 2(5), and shall commence such business after having received an approval from the Office. The provision