, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related to Capital Market
the appropriateness of investment, the objective of investment, the financial position or the demand of any specific person, and without solicitation of investment in any of the following capital market
Acquisition of Assets and the Connected Transaction 2. Information Memorandum regarding the offering of the newly issued ordinary shares to specific investors (Private Placement) 3. Capital Increase Report Form
in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to
securities clients.Essentially, securities companies and derivative business operators would be allowed to invest their clients? assets in money market funds as well as bills of exchange and promissory notes
prescribed in the Notification of Capital Market Supervisory Board No. Tor Chor. 72/2558 Re: Approval of Offering for Sale of Newly Issue Shares by Listed Companies to the Specific Persons (the ”), the
Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange
trust for transactions in the capital market. Clause 4 This Notification shall not apply in cases where there are other notifications of the SEC Office regarding approval of auditors for any specific