derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other service providers relating to derivatives as specified in the notification of the SEC
derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other service providers relating to derivatives as specified in the notification of the SEC
prospectus for the offering of digital tokens or any other information to be disclosed through such service provider. “ SEC ” means the Securities and Exchange Commission under the law governing securities and
registration statement and draft prospectus for the offering of digital tokens or any other information to be disclosed through such service provider. “SEC” means the Securities and Exchange Commission under the
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
service; (4) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon recommendation of the SEC
particulars which are material to the agreement. SECTION 134. In managing a private fund, the securities company shall provide a private fund manager with the approval of the Office in accordance with the rules
person who traded securities of the company for any damages arising from disclosure of information to shareholders or public which contains a false statement or concealing material facts which should have
material facts that should have been stated shall be liable to imprisonment for a term not exceeding two years or a fine not exceeding five hundred thousand baht, or both: (1) any document or information
type of securities license granted. 4.3 Using of scripless system by depository center for all types of securities and throughout the whole process • Licensed depository center can provide service