receiving a payment for a securities trading for any person; 5. Placing money or other assets as collateral for securities trading of any person; 6. Allowing any person to receive benefits or oversee payment
receiving a payment for a securities trading for any person; 5. Placing money or other assets as collateral for securities trading of any person; 6. Allowing any person to receive benefits or oversee payment
wrongful acts against investors’ assets. In this regard, he used eight investors’ money for unit subscription for his own benefit, causing the total damage of 449,500 baht. At the time of the offense, he was
company licensed to undertake derivatives business; (2) “executive” means manager or person with power of management; (2/1) 1 “manager” means any person assigned by the board of directors of the company to
person; (b) having annual income of ten million baht or more, or https://publish.sec.or.th/nrs/7186pe.doc ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ shall deposit such assets and deposit money to
” means manager or person with power of management; (2/1) 1 “manager” means any person assigned by the board of directors of the company to be ultimately responsible for the management of the company
of mutual fund or private fund management, or derivatives investment management company. “ fund ” means mutual fund and private fund. “ investor ” means any person interested in investing in capital
bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best