short sale; (4) collect the information and evidence of each client in a separate folder which shall be updated on a regular basis; (5) review the client’s limit under (1) at least once a year or upon any
Provision ____________________ Chapter 1 Scope of Applicability ____________________ Clause 4 The regulations on structured notes is under two separate parts due to the combined characteristics of the bonds
intermediary should separate development and production environments and allow to access by only authorized personnel for each environment. Such separation may be in the form of using different computers or
. Provide the disclosure in a separate section titled “Risk Factors” and separate different types of risk factors into different subsections. 3. In case of offering for sales of unusually risky debt
evaluation should be made to project the future capacity requirements based on current use of resources for ensuring the required system performance; 4. The intermediary should separate development and
สารสนเทศข่าว มติ BOD 5-60 Final 20171126 En No. NDR013/2017 Subject Resolution of the Board of Directors’ Meeting To President The Stock Exchange of Thailand Enclosure 1. Information Memorandum on 2. Information Memorandum regarding the offering of the newly issued ordinary shares to specific investors (Private Placement) 3. Capital Increase Report Form (F53 N.D. Rubber Public Company Limited (“ No.5/2017 held on November26, 2017 which has the material resolutions as follows 1. Approved to propo...
including real estate equities, infrastructure equities, multi- strategy real asset solutions and real asset debt. PSG manages separate accounts, registered funds and opportunistic strategies for
dissolution of invested mutual fund, closing of acceptance of trading orders of investment units or any other ground in a similar manner (if any). (4) separate the trading account for the capital market
UNOFFICIAL TRANSLATION Codified up to No. 6 As of 12 April 2019 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange...