investment scheme. “home regulator” means a regulator who has the authority to supervise collective investment schemes or CIS operators. “securities company” means a securities company that obtains the
Notification. Chapter 4 Others --------------------------------------- Clause 28. Derivatives broker shall monitor and supervise to ensure that its personnel who provide services for derivative broker perform in
information to customer. Clause 13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of
information to customer. Clause 13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of
requires a knowledgeable, capable and responsible person to perform. The Notifications of the Securities and Exchange Commission, the Notifications of the Capital Market Supervisory Board and the
Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement
perform work related to business operations in the year 2022 within the period specified in the notification of the SEC, that is December 31, 2022. DAB Act S.30 Settlement Committee Meeting No. 4/2023
for assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.30 Settlement
procedures as specified in the Notification of the Capital Market Supervisory Board by failing to supervise transactions that are considered conflicts of interest by investing in two of IPO securities for
, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board to supervise transactions that are considered conflicts of interest by investing in unrated and unlisted bill