Yuanta Securities (Thailand) Company Limited Between May 9, 2022 and August 7, 2023 Yuanta Securities (Thailand) Company Limited as a securities underwriter, failed to comply with the rules

intermediaries such as financial advisor, underwriter and bondholders’ representative. These intermediaries may be related to the issuer and the offeror in such a way that may have an impact on their duty

person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the following manners: (a) a spouse or a minor child of such person

relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the following manners: (a) a spouse or a minor child of such person; (b) an individual or a

offer for sale of securities; (2) “related person” means a person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the

securities; (2) “related person” means a person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the following manners: (a) a

underwriter in the following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding

Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Securities Underwriter Business >> การลดทุนของบริษัทหลักทรัพย์ (มาตรา 98(1))   ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1

Printable Format - Laws and Regulations Marketing |- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter    Bond Dealer and Underwriter |- Fees (section 14 and 19

และจัดจำหน่ายหลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer Underwriter LBDU)      ข้อมูลทั่วไป   ชื่อ-นามสกุล *   ตำแหน่ง   ชื่อบริษัท/องค์กร *   อาชีพ/ประเภทธุรกิจ   โทรศัพท์   โทรสาร   อีเมล์