client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or
Baht 500,000 per year; (5) Inter-dealer brokerage, at the rate of Baht 50,000 per year; (6) Venture capital fund management, at the rate of Baht 50,000 per year; (7) Securities registrar service, at the
500,000 per year; (5) Inter-dealer brokerage, at the rate of Baht 50,000 per year; (6) Venture capital fund management, at the rate of Baht 50,000 per year; (7) Securities registrar service, at the rate of
Determination of Undertaking not Deemed as a Derivatives Dealer
Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2)
Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer
Commission Notification of the Securities and Exchange Commission No. KorThor. 45/2547 Re: Determination of Undertaking which is not Deemed to be A Derivatives Dealer By virtue of Section 3 and Section 9 of
Commission Notification of the Securities and Exchange Commission No. KorThor. 45/2547 Re: Determination of Undertaking which is not Deemed to be A Derivatives Dealer By virtue of Section 3 and Section 9 of
Bangkok, April 17, 2014 ? The SEC requires disclosure of foreign bank branches as issuers of debt securities to focus on information of branches. Meanwhile, both credit ratings of the banks and the
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