Executives of securities companies and personnel in securities business Registered Person in Derivative Business Broker, Dealer, Underwriter and other securities businesses Related Organizations Digital Assets
, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. Clause 4. In taking
, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. (Translation) 2 Clause 4
derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. (Translation) 2 Clause 4. In taking custody of customer
obtaining bounty and gratuity, for instance. In this regard, Commissioners, Board members, top management and staffs of the SEC, the Stock Exchange of Thailand and over-the-counter center are not entitled to
executives, and staffs who are in relations to stocks and REIT underwriting deals, from selling them for a prescribed period of time after listing. This prohibition aims to prevent conflict of interest as the
THB 51.48 million, respectively. Selling expenses grew by THB 14.87 million or 22.41%, mainly from more staffs and rental in branch expansion. Compared to sales, the first quarter’s selling expenses