study the information carefully before making investment decisions. The responsible underwriter must hand out the factsheet and the subscription form at sale points while securities firms must conduct the
in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair
Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; (7) non-life insurance company; (8) life insurance company; (9) mutual
, non-life insurance company, life insurance company, statutory company, mutual fund, private fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification
Investors Investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mututal fund, private fund, the
business only with Institutional Investors Investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory
, underwriter, or arranger, and as applicable, dissemination of the credit rating publicly or to subscribers. 5 These definitions are intended to facilitate an understanding of the IOSCO CRA Code. These terms may
e-service Online Submission See canceled document Securities Underwriter Business >> Underwriter of capital market product denominated in foreign currency Type Title Section See Document Status
Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Securities Underwriter Business >> การขอใบอนุญาต (มาตรา 90) ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1. กฎกระทรวง ที่ 5