firm executives against whom the SEC files a criminal complaint as person of untrustworthy characteristics, active participation of minority shareholders in Extraordinary General Meeting of Shareholders
: (1) “bond” means a secured bond, an unsecured bond, a convertible bond, a structured note or a subordinated bond, whether or not the issuer provides a bond holder representative; (2) “secured bond
company shall notify its counterparty whether an offer price is a firm quotation or an indicative quotation. Clause 11 In the case where a securities company bids or offers a firm quotation, the securities
counterparty whether an offer price is a firm quotation or an indicative quotation. Clause 11 In the case where a securities company bids or offers a firm quotation, the securities company shall proceed as
/or admitted to trading. B. Entities Providing Liquidity. If any entity has made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker
margin to OSP beverage portfolio. Fit Fast Firm project (OSP’s cost saving program) is expected to deliver higher gross saving than planned and will strive for delivering margin expansion despite higher C
Specific Characteristics ______________________ Division 1 Mutual Fund Investing in Derivatives or Structured Notes _________________________ Clause 16 The provisions hereunder shall apply to the following
methodologies. For example, a CRA should assess whether existing credit rating methodologies and models for determining credit ratings of structured finance products are appropriate when the risk characteristics
;เจ้าพนักงาน”) ก่อน3.3 กรณีบริษัทหลักทรัพย์ต้องการทำธุรกรรมลงทุนในตราสารต่างประเทศเพื่อบริหารความเสี่ยงจากการออก structured note หรือจากการทำธุรกรรมอนุพันธ์ที่อ้างอิงตัวแปรต่าง
short-term structured notes in accordance with the Notification of the Capital Market Supervisory Board concerning Application and Approval for Offer for Sale of Structured Notes shall be filed in