account of a customer; (b) profit or any other benefit resulted from derivatives transaction for the account of a customer; (c) warehouse receipt, bill of lading, or any other instruments which represent
derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which
obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
administrative sanctions are as follows: (1) probation; (2) administrative fine; (3) public reprimand; (4) restriction to operate trust business; (5) suspension of trust business operation for a specified period
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
documents relating to its business, shall be subject to a fine not exceeding five thousand baht. Section 33. Any person who uses a name in the Thai language preceded by the words, “Provident Fund” and
administration in the manner of deception, defraudation or corruption or having been settled the case with a fine due to the commission of such offence: O yes (please specify in detail) O the final judgement of
(please specify) For example, date of being settled the case with a fine………....………… By office ……………………………………….……….…….… In offence relating to .…………………………………………… Under the law…………………………… (attachment) (if any
first paragraph shall not be applicable to the case that Stock Exchange or the derivatives exchange imposes penalty of fine on them. “ member ” under the first paragraph means member of the Stock Exchange
that Stock Exchange or the derivatives exchange imposes penalty of fine on them. “ member ” under Paragraph 1 means a member of the Stock Exchange or the derivatives exchange , as the case may by. Clause