an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b) arranging a communication system which
giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b) arranging a communication system which clients can use to communicate with
Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is 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. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...
Translation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is 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. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 o...
Microsoft Word - ลำดับที่ 34_39_สธน26-49.DOC (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is 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. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company _____...
manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to any group of shareholders, which will create an advantage over other shareholders or give inappropriately
Division 1 and Division 2. Division 1 Giving of Opinions by Relating Parties Clause 22. The applicant shall have a legal advisor who gives an opinion whether or not the trust instrument is enforceable under
issuer; b. every material contract referred to in the registration statement or, where the contract is not reduced into writing, a memorandum giving full particulars thereof; c. the directors’ service
memorandum giving full particulars thereof; c. the directors’ service contracts referred to in the registration statement; d. every report, memorandum, letter, valuation, statement or other documents by any