Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows:             (1)  Rules that carry the material context similar to that state...

Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries

Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries

Rules on Application for Obtaining Approval and Granting to Perform Trust Business

shall include at least the following matters: (1) Questions and answers regarding the key characteristics of the mutual fund, as follows: (a) Does the mutual fund specify the types of investors or classes

N.A.T. (Thailand) Company Limited N.A.T. (Thailand) Company Limited (N.A.T.) operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003

Mr. Teerayut Hemput Mr. Teerayut Hemput operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions

Mr. Matthew Christensen Matthew Christensen operated derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and

S D Global S D Global operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under

Seandar Inc. Seandar Inc. (or Seandar) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to