Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
“bondholders’ representative,” who serves as a crucial mechanism for safeguarding and advocating for bondholders. The bondholders’ representative is required to comply with the Securities and Exchange
new plants in Petchaburi, Thailand in consider to fulfill the increased customer demand, as per the Notification of the Stock Exchange of Thailand regarding Rules, Conditions and procedures of
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
17. In this regard, the affiliated transaction, whether in the case specified in Clause 14, Clause 15, Clause 16, Clause 17 or any other case, shall comply with the following rules: (1) being
the case specified in Clause 16 or Clause 17. In this regard, the affiliated transaction, whether in the case specified in Clause 14, Clause 15, Clause 16, Clause 17 or any other case, shall comply with
public in Thailand: (a) the Hong Kong Covered Fund shall meet the eligibility requirements in accordance with this circular and comply with all of the applicable requirements set out in this circular (see
have the power to specify in its notification the rules with which derivatives business operators shall comply.