ตลาดหลักทรัพย์ established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “ electronic data” means statements that are created, sent, received, stored or
ตลาดหลักทรัพย์ established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “ electronic data” means statements that are created, sent, received, stored or
Exchange Act B.E. 2535 (1992) (SEA). 2 Local intermediary means an entity licensed to undertake securities business in the category of securities brokerage, including a securities company licensed to
Mr. Amorn Meemano Mr. Amorn Meemano, the Chief Executive Officer responsible for the operation of AJ Advance Technology Public Company Limited (“AJA”), was liable for AJA’s failure to prepare and
Mr. Amorn Meemano Mr. Amorn Meemano, the Chief Executive Officer responsible for the operation of AJ Advance Technology Public Company Limited (“AJA”), was liable for AJA’s failure to prepare and
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
Miss Keswarang Sawatdipan Miss Keswarang Sawatdipan dishonestly deceived the investors by asserting false statements to make invetors believe that she was licensed to operate a derivatives business
company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal
company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Private fund management company” means any securities company licensed to
. “Management company” means any mutual fund management company or private fund management company; “Mutual fund management company” means any securities company licensed to undertake securities business in the