. Clause 4 A securities underwriter shall make securities underwriting in accordance with procedures indicated in a prospectus. Clause 5 A securities underwriter shall not subscribe for securities of which
securities underwriter shall make securities underwriting in accordance with procedures indicated in a prospectus. Clause 5 A securities underwriter shall not subscribe for securities of which it makes
issuer and bondholders with respect to repayment under such subordinated bonds are clearly specified and the subordinate conditions shall be indicated especially on the following events: 6 (1) the issuer
-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics
(UNOFFICIAL TRANSLATION) 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 Capital Market Supervisory Board No. Tor Jor. 17/2561 Re: Application and Approval for Offer for Sale of Newly Issued Debt Securities _______________________ By virtue of Section 16/6 and Section 89/27 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (...
legal proceedings under the law governing securities and exchange and notifications issued by virtue of the said law. Clause 5 Other than the reasonable grounds of lack of qualifications or possession of
World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
Exchange Commission KorDor. 30/2540 Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities 31/07/1997 5. Notification of the Securities and Exchange Commission
renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the