/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of Section 16 of the
in the Category of Investment Advisory Service B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
under the Securities and Exchange Act B.E. 2535 is hereby repealed. Clause 2 Person intending to apply for operate securities business license in the category of mutual fund management shall be limited
Family Corporation Company Limited Between August 11, 2017 and August 5, 2020 Family Corporation Company Limited offered for sale newly issued securities in the category of promissory note without
) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 Settlement Committee Meeting No. 10/2017
for sale newly issued securities in the category of debentures without having obtained an approval form the SEC Office. SEC Act S.300 Settlement Committee Meeting No. 10/2017 Settlement Committee
securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 1/2018 Settlement Committee Order
., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No