securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities company undertaking securities business. Investor
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
Commission concerning Determination of Definitions in the Notifications on Issuance and Offer for Sale of Securities; 5 “sale promotion” means providing incentive gifts, rights or other benefits to an investor
through expansion of customer base and income by providing financial transactions via multiple platforms to offset reduced income after the cancellation of funds transfer fees via digital channels. In
basis, and promotes it as an organizational culture. A number of activities undertaken to promote our good corporate governance practices during the third quarter of 2017 included: - Granting of rights to
Microsoft Word - GSC013_?????????????-Eng ELCIDGSC013/2019 17 July 2019 Subject: Notification of the Resolution of the Board of Directors’ Meeting No.6/2019, The Providing of Financial Assistance to
Microsoft Word - GSC013_?????????????-Eng-revised ELCIDGSC013/2019 17 July 2019 Subject: Notification of the Resolution of the Board of Directors’ Meeting No.6/2019, The Providing of Financial
Transactions in the Capital Market B.E. 2550 (No.2) dated 21 February, 2011. 7 Clause 16. An order imposing administrative order shall contain supporting reasons, providing that the reasons shall at least
giving rise to damage to the reputation or the financial condition or the business operation or the customers of such business. Clause 5. In applying for an approval to act as a mutual fund manager, the