securities company licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives
Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company
in order to stimulate the investor to invest in units; “underwriter” means a securities company of which license is allowed to underwrite units; “associated person” means any person having one of the
and paying agent……………….. Warning: “Prior to making an investment decision, investors should exercise their own judgment when considering detailed information relating to the issuing company of the
Office in accordance with the guidelines and procedures provided on the website of the SEC Office. Clause 7/110 For a public offering of debt securities at the concurrent or proximate period of time in
Report of the Acquisition or Disposition of Securities (Form 246-2) 2.1 ( ) Acquisition ( ) Disposition ( ) Through the Stock Exchange of Thailand via a securities company
Report of the Acquisition or Disposition of Securities (Form 246-2) 2.1 ( ) Acquisition ( ) Disposition ( ) Through the Stock Exchange of Thailand via a securities company