• Specified by Section 114- 119 of DA, this sanction is Imposed to the following persons: - Derivatives Business Operator - Derivatives Exchange - Derivatives Clearing House - Regulatory Association of
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
University and a Barrister at Law from the Thai Bar Association. He is well-recognized for his expertise within the legal profession. Prior to taking office as Chairman of the SEC board, he served in several
organized by the Asian Corporate Governance Association and the CLSA Asia-Pacific Markets. This is due to continuous improvement and revision of supervisory regulations together with information disclosure of
Bond Market Association has already imposed a penalty on such persons in accordance with its regulations. Chapter 7 Prohibited Characteristics of Personnel in the Capital Market Business
comply with the regulations relating to the same matter in this Chapter and the Thai Bond Market Association has already imposed a penalty on such persons in accordance with its regulations. 15 Chapter 7
association with any registered public accounting firm; (C) temporary or permanent limitation on the activities, functions, or operations of such firm or person (other than in connection with required
Bond Market Association has already imposed a penalty on such persons in accordance with its regulations. Chapter 7 Prohibited Characteristics of Personnel in the Capital Market Business