securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money laundering control; (Translation) - 4 - (9) Having been sentenced for commission of any
knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the
. 4) B.E. 2557 8 Chapter 2 Application of License and Issuance of Securities Business License Clause 12 The applicant shall file an application with the SEC Office in accordance with form and procedure
______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification therein being that such
from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of Section 16 of the
Role of migrant workers in the new landscape of sustainability Picture Source: https://www.mckinsey.com/industries/financial-services/our-insights/wealthtech-in-asia-pacific-the-next-frontier-in
business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no effect on businesses of securities
contracts in which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the derivatives fund manager