ordinary shares to any person or subscriber if such offer for sale or allocation will, or may result in: (a) a violation of any laws, rules or regulations of the Kingdom of Thailand or of any other countries
) dated 7 December 2010. Clause 3 This Notification shall be applicable to the establishing of any intermediary’s branch office, excluding the branch office of [an intermediary which is] financial
and Permission of Establishing Branch Offices of Derivatives Broker (No. 2) dated 7 December 2010. Clause 3 This Notification shall be applicable to the establishing of any intermediary’s branch office
Derivatives Broker (No. 2) dated 7 December 2010. Clause 3 This Notification shall be applicable to the establishing of any intermediary’s branch office, excluding the branch office of [an intermediary which is
conditions. Otherwise, the lessor shall be responsible for either relevant taxes, stamp duties, and/or fees (if applicable) in case of building transfer or any incurred costs of the demolition- if not. 5
selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the
; (9) “investment advice” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or selling of any securities; (10
reviewing the adequacy of the internal control at least once a year. Extra revision may be necessary in case of any incidents which have significant impacts on the companies’ operations. Such assessment
strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. The Office of the Securities and