to set-off against losses resulting from her trading decision made on behalf of the client. She then falsely informed her client that the money obtained from selling the securities was transferred to
. Meanwhile, the banks? executives obtained more information on the SEC?s policy and direction to develop Thai capital market which would be beneficial for the consideration on business planning, said Vorapol.
shall be deemed to have obtained general permission and thus be exempted from SEC disclosure requirements. The relaxation is granted to those particular group of investors as they are considered
exchange rates as underlying products and have obtained benefits from trading fees.Such conduct is deemed undertaking derivatives business without license which contravenes Section 16 of the Derivatives Act
, claiming that the fund will be used to make investment in stock and derivatives exchanges. In addition, Yuttana held himself out as investment advisor, offered advice and obtained benefits from giving advice
tokens to the public must be conducted only by limited companies or public limited companies on the condition that such issuers have already obtained an approval and filed the registration statement and
companies on the condition that such issuers have already obtained an approval and filed the registration statement and draft prospectus with the SEC, and such offering must be carried out through ICO Portal
will consider the information obtained from this working group about methods for fund mobilization and the trading of shares of SMEs and startups on secondary markets, as well as the qualifications of
having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective date of this notification, shall continue to engage