securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
businesses that already operate a digital business before the legal enforcement or newcomers who are interested in obtaining licenses as trading centers, brokerage firms or traders https://www.sec.or.th/EN
Mr. Chris Lum Mr. Chris Lum colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for
trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or
Ms. Chong Jia Min Ms. Chong Jia Min colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
sale of newly issued sukuk; (3) prescribes particulars in the trust instrument for issuance of sukuk. Clause2 This Notification contains provisions in the following matters: (1) application for obtaining
Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries _____________________________ By virtue of